Mark Richard Walker

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.

  • NORTH RIDING FINANCIAL SERVICES LIMITED

    FRN 711046

    • 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)
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 22 Jul 2016)
    • CF11 Money Laundering Reporting (4 Jan 2016 to 9 Nov 2016)
    • CF1 Director (4 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2016 to 9 Nov 2016)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Jan 2016 to 30 Sep 2018)
  • North Riding Financial Services (no longer approved here)

    FRN 170981

    • (2)Employed By (1 Oct 1998 to 31 Dec 2015)

Recent activity

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