Baldish Kaur Pone

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • TICKMILL UK LTD

    FRN 717270

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2026)
    • SMF3 Executive Director (since 25 Feb 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10a CASS Oversight function (30 Sep 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Nov 2017 to 8 Dec 2019)
  • CBH Wealth UK Limited (no longer approved here)

    FRN 514546

    • CF10 Compliance Oversight (24 Apr 2017 to 31 Jul 2017)
    • CF11 Money Laundering Reporting (24 Apr 2017 to 31 Jul 2017)
  • J.P. MORGAN PERSONAL INVESTING LIMITED (no longer approved here)

    FRN 552016

    • CF11 Money Laundering Reporting (29 Oct 2015 to 10 Jan 2017)
    • CF10 Compliance Oversight (29 Oct 2015 to 10 Jan 2017)
  • MetLife Investment Management Limited (no longer approved here)

    FRN 623761

    • CF11 Money Laundering Reporting (13 Feb 2015 to 25 Sep 2015)
    • CF10 Compliance Oversight (13 Feb 2015 to 25 Sep 2015)
  • Capita Life & Pensions Regulated Services Limited (no longer approved here)

    FRN 145540

    • CF15 Internal Audit (1 Jul 2004 to 17 Jul 2006)

Recent activity

Updates to this individual's record on the FCA register.

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