Paul Anthony Rice

Last updated
2 weeks ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Paul Rice Investment Planning Limited

    FRN 598729

    • 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 5 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 5 Jan 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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (3 Jul 2013 to 8 Dec 2019)
    • CF1 Director (3 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2013 to 8 Dec 2019)
    • CF30 Customer (3 Jul 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jul 2013 to 30 Sep 2018)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (19 Dec 2011 to 20 Jul 2013)
  • Gerrard Stuart Financial Services Limited (no longer approved here)

    FRN 182023

    • CF30 Customer (26 Jul 2010 to 20 Oct 2011)
  • Robert Howell Limited (no longer approved here)

    FRN 206187

    • (3)Employed By (26 Jul 2010 to 20 Oct 2011)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (26 Jun 2009 to 27 Aug 2010)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2002)

Recent activity

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

No changes recorded yet.