Richard Alan Hopkins

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.

  • Blackstone Moregate Limited

    FRN 459051

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (10 Jan 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Jan 2007 to 31 Oct 2007)
    • CF3 Chief Executive (10 Jan 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (10 Jan 2007 to 30 Sep 2018)
    • CF24 Pension Transfer Specialist (10 Jan 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (10 Jan 2007 to 8 Dec 2019)
  • Blackstone Moregate Ltd - U931 (no longer approved here)

    FRN 209108

    • Employed By (18 Jan 2002 to 30 Dec 2006)

Recent activity

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

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