Paul Anthony Roome

Last updated
1 month ago
Watch for changes

Where they hold approval

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

  • TIC FINANCIAL SERVICES (UK) LTD (no longer approved here)

    FRN 218103

    • (25)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Apr 2026)
    • (33)[FCA CF] Client dealing (9 Dec 2019 to 16 Oct 2025)
    • (34)[FCA CF] Manager of certification employee (9 Dec 2019 to 16 Oct 2025)
    • (35)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Oct 2025)
    • (27)SMF3 Executive Director (9 Dec 2019 to 22 Apr 2026)
    • (26)SMF16 Compliance Oversight (9 Dec 2019 to 22 Apr 2026)
    • (24)Responsible for Insurance Distribution (1 Oct 2018 to 22 Apr 2026)
    • (22)Responsibility for MCD Intermediation (21 Mar 2016 to 22 Apr 2026)
    • (28)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (23)Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • (36)CF1 Director (3 Jan 2003 to 8 Dec 2019)
    • (29)CF21 Investment Adviser (3 Jan 2003 to 31 Oct 2007)
    • (30)CF11 Money Laundering Reporting (3 Jan 2003 to 8 Dec 2019)
    • (31)CF10 Compliance Oversight (3 Jan 2003 to 8 Dec 2019)
    • (32)CF8 Apportionment and Oversight (3 Jan 2003 to 31 Mar 2009)

Recent activity

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

  1. controlled function removed: Responsible for Insurance Distribution at TIC FINANCIAL SERVICES (UK) LTD

  2. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at TIC FINANCIAL SERVICES (UK) LTD

  3. controlled function removed: SMF16 Compliance Oversight at TIC FINANCIAL SERVICES (UK) LTD

  4. controlled function removed: SMF3 Executive Director at TIC FINANCIAL SERVICES (UK) LTD

  5. controlled function removed: Responsibility for MCD Intermediation at TIC FINANCIAL SERVICES (UK) LTD

  6. controlled function added: (22)Responsibility for MCD Intermediation at TIC FINANCIAL SERVICES (UK) LTD

  7. controlled function added: (23)Responsible for Insurance Mediation at TIC FINANCIAL SERVICES (UK) LTD

  8. controlled function added: (24)Responsible for Insurance Distribution at TIC FINANCIAL SERVICES (UK) LTD

  9. controlled function added: (25)SMF17 Money Laundering Reporting Officer (MLRO) at TIC FINANCIAL SERVICES (UK) LTD

  10. controlled function added: (26)SMF16 Compliance Oversight at TIC FINANCIAL SERVICES (UK) LTD

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