Carl Simon Rich

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.

  • CSR Planning Limited

    FRN 750069

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (14 Nov 2016 to 8 Dec 2019)
    • CF1 Director (14 Nov 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Nov 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Nov 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Nov 2016 to 30 Sep 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (18 Aug 2005 to 3 Nov 2006)
    • CF22 Investment Adviser (Trainee) (19 Oct 2004 to 18 Aug 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (23 Dec 2003 to 10 Sep 2004)

Recent activity

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

No changes recorded yet.