Michael John Rice

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.

  • AFH Independent Financial Services Limited

    FRN 216704

    • 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
    • [FCA CF] Functions requiring qualifications (since 10 Feb 2026)
    • [FCA CF] Client dealing (since 10 Feb 2026)
  • Michael John Rice

    FRN 711711

    • 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] Functions requiring qualifications (since 11 Mar 2021)
    • [FCA CF] Client dealing (since 11 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • M J R Financial Services (Life & Pensions) (no longer approved here)

    FRN 126595

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

Recent activity

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

No changes recorded yet.