Paul Haley

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.

  • Cormorant Partnership LLP

    FRN 488257

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 21 Mar 2023)
    • [FCA CF] Client dealing (since 21 Mar 2023)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Oct 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2008 to 8 Dec 2019)
    • CF4 Partner (1 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Oct 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (1 Oct 2008 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Oct 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.