Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Poole Associates
FRN 301520
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- CF10 Compliance Oversight (15 Jun 2016 to 8 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
- CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF19 Significant Mgt (Financial Resources) (31 Oct 2004 to 31 Oct 2007)
- CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 31 Oct 2007)
- CF13 Finance (31 Oct 2004 to 31 Oct 2007)
- CF11 Money Laundering Reporting (31 Oct 2004 to 8 Dec 2019)
- CF4 Partner (31 Oct 2004 to 8 Dec 2019)
- CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.