Ian Peter Richardson

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.

  • Face To Face Financial Solutions Limited

    FRN 627664

    • 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] Client dealing (since 19 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 6 Oct 2023)
    • CF11 Money Laundering Reporting (8 Dec 2014 to 8 Dec 2019)
    • CF1 Director (8 Dec 2014 to 8 Dec 2019)
    • CF30 Customer (8 Dec 2014 to 8 Dec 2019)
  • Face to Face Financial Solutions Limited (no longer approved here)

    FRN 225181

    • (7)Employed By (15 May 2008 to 5 Dec 2014)
  • Premier Financial Ltd (no longer approved here)

    FRN 206514

    • (4)Employed By (1 Oct 2002 to 2 Aug 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (20 Mar 2002 to 30 Aug 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 Mar 2002)

Recent activity

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

No changes recorded yet.