Ian Joseph Plumpton

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Where they hold approval

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

The Finance Roome Limited
FRN 745454
- SMF16 Compliance Oversight (since 14 Jun 2024)
- SMF3 Executive Director (since 14 Jun 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jun 2024)
Attivo Financial Limited
FRN 497130
- SMF16 Compliance Oversight (since 13 Oct 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Oct 2021)
- SMF3 Executive Director (since 13 Oct 2021)
- CF1 Director (AR) (11 Dec 2023 to 7 Apr 2025)
Attivo Financial Services Limited
FRN 462105
- SMF3 Executive Director (since 16 Jan 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (10 Aug 2011 to 8 Dec 2019)
- CF11 Money Laundering Reporting (10 Aug 2011 to 8 Dec 2019)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.