Colin Pollock

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.

  • Carntyne Limited (no longer approved here)

    FRN 822691

    • [FCA CF] Client dealing (1 Jan 2021 to 25 Jun 2025)
    • SMF3 Executive Director (9 Dec 2019 to 25 Jun 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jun 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Jun 2025)
    • CF11 Money Laundering Reporting (6 Dec 2018 to 8 Dec 2019)
    • CF1 Director (6 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (6 Dec 2018 to 8 Dec 2019)
  • Daiwa Corporate Advisory Limited (no longer approved here)

    FRN 175853

    • CF30 Customer (15 May 2015 to 19 Jan 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Dec 2009 to 16 May 2014)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (6 Sep 2004 to 7 Sep 2006)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Nov 2002)

Recent activity

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

No changes recorded yet.