Neil Caraher

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.

  • Rainbow Consulting (Scot) Limited

    FRN 778343

    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 8 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 13 Sep 2017)
    • CF30 Customer (13 Sep 2017 to 8 Dec 2019)
    • CF1 Director (13 Sep 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Sep 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (13 Sep 2017 to 30 Sep 2018)
  • RAVENSTONE FINANCIAL MANAGEMENT LTD. (no longer approved here)

    FRN 207506

    • CF24 Pension Transfer Specialist (12 Oct 2002 to 6 Jun 2003)
    • CF21 Investment Adviser (9 May 2002 to 6 Jun 2003)

Recent activity

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

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