Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Barker Poland Asset Management LLP
FRN 499311
- 11. Pension transfer specialist
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsible for Insurance Mediation (24 Nov 2009 to 30 Sep 2018)
- CF3 Chief Executive (24 Nov 2009 to 8 Dec 2019)
- CF30 Customer (24 Nov 2009 to 8 Dec 2019)
- CF4 Partner (24 Nov 2009 to 6 Mar 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.