Thomas Poole

Last updated
1 week ago
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Where they hold approval

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

  • Fairway Independent Financial Advisers Limited

    FRN 737373

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 17 Aug 2016)
    • CF11 Money Laundering Reporting (20 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Aug 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (17 Aug 2016 to 30 Sep 2018)
    • CF30 Customer (17 Aug 2016 to 8 Dec 2019)
    • CF1 Director (17 Aug 2016 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (3 Feb 2009 to 17 Aug 2016)
    • CF1 Director (AR) (3 Feb 2009 to 17 Aug 2016)
  • Fairway Independent Financial Advisers Ltd (no longer approved here)

    FRN 195305

    • (5)Employed By (3 Feb 2009 to 17 Aug 2016)

Recent activity

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

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