Benjamin Hodges

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.

  • Rickard Lazenby International Ltd

    FRN 313117

    • SMF3 Executive Director (since 16 Apr 2024)
    • SMF16 Compliance Oversight (since 16 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Apr 2024)
  • Rickard Lazenby Financial Services Ltd

    FRN 150485

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Responsibility for MCD Intermediation (since 10 Mar 2020)
    • Responsible for Insurance Distribution (since 10 Mar 2020)
    • SMF16 Compliance Oversight (since 10 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Mar 2023)
    • [PRA CF] Key function holder (9 Dec 2019 to 10 Mar 2023)
    • CF1 Director (30 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Oct 2015 to 8 Dec 2019)
    • CF30 Customer (22 Apr 2014 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.