Overview Jurisdiction Authorities Initiatives ADGM Academy Dispute Resolution
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    Financial Services Firms

    Polen Capital Middle East Ltd
    Public Registers FSRA Public Register Financial Services Firm Polen Capital Middle East Ltd Financial Services Permission Number 240091 Date of Financial Services Permission 29 January 2025 Address Unit 17, Level 25, Al Sila Tower, Abu Dhabi Global Market Square, Al Maryah Island, Abu Dhabi, United Arab Emirates Legal Status Subsidiary Regulated Activities Type Effective date Withdrawn Date Managing Assets 29 January 2025 Managing a Collective Investment Fund 29 January 2025 Arranging Custody 29 January 2025 Arranging Deals in Investments 29 January 2025 Advising on Investments or Credit 29 January 2025 Conditions

    In accordance with section 30(4)(a) of FSMR, the following limitations and stipulations apply to all Regulated Activities, unless specified otherwise:

    • PCMEL is not permitted to deal with Retail Clients as defined under the Conduct of Business Rulebook (COBS); and
    • PCMEL is not permitted to hold Client Assets.
         Endorsements None Regulatory Actions

    None

         Approved Persons Reference Number A-Z Reference Number Z-A Name A-Z Name Z-A Role A-Z Role Z-A Status A-Z Status Z-A Effective Date Start New to old Effective Date Start Old to new Withdrawn Date New to old Withdrawn Date Old to new 10 20 50
    Reference Number Name Role Status Effective date start Withdrawn date 01658 Anthony Goldstone Compliance Officer, MLRO & Senior Manager Current 29 January 2025 00778 Gustavo Morais Finance Officer and Senior Manager Current 29 January 2025 02509 Michael Guarasci Sr Licensed Director Withdrawn 29 January 2025 31 January 2025 02510 Brian David Goldberg Licensed Director Current 29 January 2025 01058 Racha Al Khawaja Licensed Director Current 03 March 2025 02736 Kevin Michael Dolsen Licensed Director Current 03 March 2025 01443 Jason Nigel Clark Licensed Director Current 03 March 2025 02508 Paul Terence Williams Licensed Director, Senior Executive Officer Current 29 January 2025

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