Wayne Poulton

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.

  • Eastmills Limited

    FRN 446389

    • 9A. Advising on P2P agreements
    • 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jan 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Jan 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Jan 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (6 Mar 2006 to 31 Oct 2007)
    • CF1 Director (6 Mar 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Mar 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Mar 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (6 Mar 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (6 Mar 2006 to 30 Sep 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (6 Mar 2006 to 27 Mar 2006)
    • CF4 Partner (AR) (6 Mar 2006 to 27 Mar 2006)
  • Eastmills Investment Consultants (062) (no longer approved here)

    FRN 134424

    • Employed By (1 Dec 2001 to 27 Mar 2006)

Recent activity

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

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