Richard Andrew Flax

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.

  • MFM Investment Ltd

    FRN 629539

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 15 Nov 2023)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
  • PIMCO Europe Ltd (no longer approved here)

    FRN 149303

    • CF30 Customer (24 Aug 2011 to 30 Jun 2015)
  • Goldman Sachs Asset Management International (no longer approved here)

    FRN 147212

    • CF30 Customer (1 Nov 2007 to 25 Feb 2011)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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