Peter Robert Rutherford

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.

  • Rutherford Hughes Limited

    FRN 807675

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 1 Apr 2021)
    • [FCA CF] Client dealing (since 1 Apr 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (19 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Dec 2018 to 8 Dec 2019)
    • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
    • CF1 Director (23 Aug 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jun 2018 to 1 Jun 2018)
    • SMF3 Executive Director (1 Jun 2018 to 1 Jun 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jun 2018 to 1 Jun 2018)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (7 Feb 2017 to 22 Aug 2018)
    • CF30 Customer (7 Feb 2017 to 22 Aug 2018)
  • Rutherford Hughes Ltd (no longer approved here)

    FRN 769991

    • Employed By (7 Feb 2017 to 22 Aug 2018)
  • Three Counties Limited (no longer approved here)

    FRN 145005

    • CF30 Customer (24 Jun 2015 to 18 Jan 2017)
    • CF1 Director (24 Jun 2015 to 18 Jan 2017)
  • Universal Tax & Wealth LLP (no longer approved here)

    FRN 600488

    • Employed By (28 May 2013 to 7 Sep 2016)
  • Perspective (North East) Limited (no longer approved here)

    FRN 150317

    • CF1 Director (AR) (24 Jan 2011 to 22 Dec 2011)
    • CF30 Customer (1 Nov 2007 to 22 Dec 2011)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Sep 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 11 Sep 2002)
    • CF1 Director (1 Dec 2001 to 22 Dec 2011)

Recent activity

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

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