Pauline McCalmont

Last updated
1 week ago
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Where they hold approval

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  • Pauline McCalmont

    FRN 707501

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (1 Feb 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Jan 2016 to 8 Dec 2019)

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