Elaine Pollington

Last updated
2 weeks ago
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Where they hold approval

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

  • BLG WEALTH LTD

    FRN 561959

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 20 Oct 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 19 Oct 2022)
    • Responsible for Insurance Mediation (2 Aug 2012 to 30 Sep 2018)
    • CF30 Customer (2 Aug 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Aug 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Aug 2012 to 8 Dec 2019)
    • CF1 Director (2 Aug 2012 to 8 Dec 2019)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (22 Mar 2013 to 3 Jul 2013)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (28 Feb 2011 to 3 Jul 2013)
  • Merchant House Financial Services Ltd (no longer approved here)

    FRN 538416

    • Employed By (28 Feb 2011 to 8 Dec 2019)

Recent activity

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

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