Robin Neil Penn

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Where they hold approval

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

Thomas Penn Partnership Ltd
FRN 475009
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 21 Mar 2016)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Sep 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 23 Sep 2021)
- Responsible for Insurance Mediation (2 Jan 2008 to 30 Sep 2018)
- CF8 Apportionment and Oversight (2 Jan 2008 to 31 Mar 2009)
- CF1 Director (2 Jan 2008 to 8 Dec 2019)
- CF10 Compliance Oversight (2 Jan 2008 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 Jan 2008 to 8 Dec 2019)
- CF30 Customer (2 Jan 2008 to 30 Dec 2012)
Professional Advice Link Ltd (no longer approved here)
FRN 194885
- (7)Employed By (1 Nov 2001 to 29 Oct 2003)
Compass Independent Ltd (no longer approved here)
FRN 182350
- Employed By (1 Oct 1998 to 29 Oct 2003)

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.