Caroline Sarah Stone

Last updated
5 days ago
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Where they hold approval

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

  • Dual Corporate Risks Limited

    FRN 312593

    • SMF3 Executive Director (since 6 Feb 2023)
    • SMF16 Compliance Oversight (since 6 Feb 2023)
    • SMF4 Chief Risk (since 6 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Jan 2024 to 19 Jan 2026)
  • ReThink Underwriting Limited

    FRN 306819

    • SMF3 Executive Director (since 21 Dec 2022)
    • SMF16 Compliance Oversight (since 21 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Jan 2024 to 19 Jan 2026)
  • DUAL Europe GmbH UK Branch

    FRN 984394

    • SMF4 Chief Risk (since 5 Jun 2023)
    • SMF16 Compliance Oversight (since 5 Jun 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Jan 2024 to 22 Jan 2026)
    • SMF3 Executive Director (5 Jun 2023 to 20 Dec 2023)
  • DUAL Underwriting Ireland DAC

    FRN 984393

    • SMF16 Compliance Oversight (since 18 Sep 2023)
  • Tamesis DUAL Europe GmbH UK Branch

    FRN 984578

    • SMF16 Compliance Oversight (since 7 Jul 2023)
  • Acm Ulr Limited (no longer approved here)

    FRN 306408

    • SMF4 Chief Risk (23 Sep 2021 to 18 May 2022)
    • SMF18 Other Overall Responsibility (23 Jan 2020 to 23 Sep 2021)
  • BISL Limited (no longer approved here)

    FRN 308896

    • SMF4 Chief Risk (23 Sep 2021 to 18 May 2022)
    • SMF18 Other Overall Responsibility (23 Jan 2020 to 23 Sep 2021)
  • BFSL Limited (no longer approved here)

    FRN 730397

    • SMF17 Money Laundering Reporting Officer (MLRO) (23 Sep 2021 to 18 May 2022)
    • SMF4 Chief Risk (23 Sep 2021 to 18 May 2022)
    • SMF18 Other Overall Responsibility (23 Jan 2020 to 23 Sep 2021)
  • Nottingham Building Society (no longer approved here)

    FRN 200785

    • SMF17 Money Laundering Reporting Officer (MLRO) (16 Nov 2016 to 8 Jun 2017)
    • SMF5 Head of Internal Audit (1 Apr 2016 to 20 May 2016)

Recent activity

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

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