Caroline Jane Ashton

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Loughborough Building Society

    FRN 157258

    • SMF10 Chair of the Risk Committee (since 11 Apr 2025)
  • Monument Bank Limited

    FRN 849724

    • SMF11 Chair of the Audit Committee (since 14 Aug 2024)
    • Director of firm who is not a certification employee or a SMF manager (1 Mar 2024 to 14 Aug 2024)
  • Al Rayan Bank PLC

    FRN 229148

    • SMF11 Chair of the Audit Committee (since 25 May 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • SMF3 (AR) Executive Director function (6 Jul 2020 to 31 Aug 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2020)
    • SMF24 Chief Operations (9 Dec 2019 to 31 Aug 2020)
    • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2020)
    • SMF4 Chief Risk (9 Dec 2019 to 31 Aug 2020)
    • CF1 Director (AR) (25 Jun 2019 to 31 Aug 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2020)
    • Responsibility for MCD Intermediation (15 Dec 2017 to 31 Aug 2020)
    • CF10 Compliance Oversight (12 Jun 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (12 Jun 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (13 Dec 2016 to 11 Jun 2018)
    • CF28 Systems and controls (13 Mar 2013 to 8 Dec 2019)
    • CF1 Director (25 Jan 2013 to 8 Dec 2019)
  • Tenet Mortgage Solutions Limited (no longer approved here)

    FRN 588724

    • Employed By (6 Jul 2020 to 31 Aug 2020)
  • TenetLime Limited (no longer approved here)

    FRN 311266

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Aug 2020)
    • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2020)
    • SMF4 Chief Risk (9 Dec 2019 to 31 Aug 2020)
    • SMF24 Chief Operations (9 Dec 2019 to 31 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2020)
    • Responsibility for MCD Intermediation (15 Dec 2017 to 31 Aug 2020)
    • CF10 Compliance Oversight (12 Jun 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (12 Jun 2017 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (13 Dec 2016 to 11 Jun 2018)
    • CF28 Systems and controls (13 Mar 2013 to 8 Dec 2019)
    • CF1 Director (25 Jan 2013 to 8 Dec 2019)
  • Derbyshire Booth Financial Management Limited (no longer approved here)

    FRN 226366

    • Employed By (25 Jun 2019 to 31 Aug 2020)
  • Elementum Ltd (no longer approved here)

    FRN 191392

    • Employed By (18 Oct 2018 to 31 Aug 2020)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Aug 2020)
    • Responsibility for MCD Intermediation (15 Dec 2017 to 31 Aug 2020)
    • Responsible for Insurance Mediation (12 Jun 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (12 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Dec 2016 to 11 Jun 2018)
    • CF1 Director (AR) (28 May 2013 to 31 Aug 2020)
    • CF28 Systems and controls (13 Mar 2013 to 8 Dec 2019)
    • CF1 Director (25 Jan 2013 to 8 Dec 2019)
  • Tenet Financial Services Limited (no longer approved here)

    FRN 172174

    • Employed By (18 Mar 2015 to 31 Aug 2020)
Show more

Recent activity

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

No changes recorded yet.