David John Pollard

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • CHESTER ROSE FINANCIAL PLANNING LTD

    FRN 726620

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 5 Aug 2024)
    • [FCA CF] Client dealing (since 5 Aug 2024)
  • Hencilla Canworth GI Limited (no longer approved here)

    FRN 948880

    • SMF3 Executive Director (4 Oct 2021 to 15 Mar 2024)
    • SMF1 Chief Executive (4 Oct 2021 to 15 Mar 2024)
  • HENCILLA CANWORTH LIMITED (no longer approved here)

    FRN 226263

    • (24)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jan 2026)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2026)
    • (14)SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2026)
    • (15)SMF3 Executive Director (9 Dec 2019 to 14 Jan 2026)
    • (16)SMF1 Chief Executive (9 Dec 2019 to 14 Jan 2026)
    • (22)[FCA CF] Client dealing (9 Dec 2019 to 15 Jan 2026)
    • (25)[FCA CF] Significant management (9 Dec 2019 to 15 Jan 2026)
    • (12)Responsibility for MCD Intermediation (21 Mar 2016 to 14 Jan 2026)
    • (21)CF3 Chief Executive (1 Sep 2014 to 8 Dec 2019)
    • (17)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (23)CF1 Director (21 Oct 2003 to 8 Dec 2019)
    • (20)CF10 Compliance Oversight (21 Oct 2003 to 8 Dec 2019)
    • (19)CF11 Money Laundering Reporting (21 Oct 2003 to 8 Dec 2019)
    • (18)CF21 Investment Adviser (21 Oct 2003 to 31 Oct 2007)
  • Hencilla Canworth Insurance Group (no longer approved here)

    FRN 162494

    • (6)Employed By (1 Oct 1998 to 20 Oct 2003)

Recent activity

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

  1. controlled function added: (12)Responsibility for MCD Intermediation at HENCILLA CANWORTH LIMITED

  2. controlled function added: (13)SMF17 Money Laundering Reporting Officer (MLRO) at HENCILLA CANWORTH LIMITED

  3. controlled function added: (14)SMF16 Compliance Oversight at HENCILLA CANWORTH LIMITED

  4. controlled function added: (15)SMF3 Executive Director at HENCILLA CANWORTH LIMITED

  5. controlled function added: (16)SMF1 Chief Executive at HENCILLA CANWORTH LIMITED

  6. controlled function added: (17)CF30 Customer at HENCILLA CANWORTH LIMITED

  7. controlled function added: (18)CF21 Investment Adviser at HENCILLA CANWORTH LIMITED

  8. controlled function added: (19)CF11 Money Laundering Reporting at HENCILLA CANWORTH LIMITED

  9. controlled function added: (20)CF10 Compliance Oversight at HENCILLA CANWORTH LIMITED

  10. controlled function added: (21)CF3 Chief Executive at HENCILLA CANWORTH LIMITED

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