Matthew David Rickard

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.

  • ARCANUM ASSET MANAGEMENT LIMITED

    FRN 599268

    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2022)
    • [FCA CF] Client dealing (since 11 Aug 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (19 Oct 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Oct 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Oct 2015 to 8 Dec 2019)
    • CF1 Director (19 Oct 2015 to 8 Dec 2019)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (4 Aug 2016 to 28 Sep 2017)

Recent activity

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

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