Shailesh Shamaldas Poptani

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.

  • Shailesh Poptani

    FRN 514240

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (23 Feb 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Feb 2010 to 8 Dec 2019)
    • CF30 Customer (23 Feb 2010 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (24 Feb 2014 to 15 Apr 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 29 Mar 2010)
    • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Jul 2004 to 17 Nov 2004)

Recent activity

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

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