Carol Ann Richmond

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.

  • Aon UK Limited (no longer approved here)

    FRN 310451

    • CF1 Director (23 Oct 2012 to 31 Dec 2014)
    • CF28 Systems and controls (14 May 2010 to 6 Jun 2012)
  • AXA Insurance UK Plc (no longer approved here)

    FRN 202312

    • CF29 Significant management (6 Feb 2008 to 8 Jun 2009)
    • CF28 Systems and controls (1 Nov 2007 to 6 Feb 2008)
    • CF1 Director (AR) (7 Jun 2005 to 2 Jan 2007)
    • CF14 Risk Assessment (9 Feb 2005 to 31 Oct 2007)
    • CF1 Director (30 Dec 2003 to 6 Feb 2008)
  • AXA SERVICES LIMITED (no longer approved here)

    FRN 456828

    • CF28 Systems and controls (1 Nov 2007 to 6 Feb 2008)
    • CF1 Director (2 Jan 2007 to 6 Feb 2008)
    • CF14 Risk Assessment (2 Jan 2007 to 31 Oct 2007)
  • AXA Services Ltd (no longer approved here)

    FRN 417514

    • Employed By (7 Jun 2005 to 2 Jan 2007)
  • Prudential Pensions Limited (no longer approved here)

    FRN 110434

    • CF16 Significant Mgt (Desgntd Investment Business) (16 Aug 2002 to 31 Jan 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 28 Jun 2002)
  • Prudential Lifetime Mortgages Limited (no longer approved here)

    FRN 119350

    • CF16 Significant Mgt (Desgntd Investment Business) (16 Aug 2002 to 31 Jan 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 28 Jun 2002)
  • The Prudential Assurance Company Limited (no longer approved here)

    FRN 139793

    • CF16 Significant Mgt (Desgntd Investment Business) (16 Aug 2002 to 31 Jan 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 16 Jul 2002)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF16 Significant Mgt (Desgntd Investment Business) (16 Aug 2002 to 31 Jan 2003)
    • CF14 Risk Assessment (1 Dec 2001 to 28 Jun 2002)
  • Prudential International Assurance Plc (no longer approved here)

    FRN 170672

    • CF10 Compliance Oversight (1 Dec 2001 to 28 Jun 2002)

Recent activity

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

No changes recorded yet.