Richard Bernstein

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.

  • J.M. FINN & CO.LTD

    FRN 450754

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2023)
    • SMF16 Compliance Oversight (since 25 Jul 2023)
  • IBOSS Asset Management Limited (no longer approved here)

    FRN 697866

    • SMF16 Compliance Oversight (15 Aug 2022 to 25 May 2023)
    • SMF3 Executive Director (15 Aug 2022 to 25 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Aug 2022 to 25 May 2023)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2020 to 25 May 2023)
    • SMF3 Executive Director (5 Jun 2020 to 25 May 2023)
    • SMF16 Compliance Oversight (5 Jun 2020 to 25 May 2023)
  • Kingswood Corporate Finance Limited (no longer approved here)

    FRN 189485

    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2020 to 25 May 2023)
    • SMF16 Compliance Oversight (5 Jun 2020 to 25 May 2023)
    • SMF3 Executive Director (5 Jun 2020 to 25 May 2023)
  • KW Investment Management Limited (no longer approved here)

    FRN 506600

    • SMF16 Compliance Oversight (5 Jun 2020 to 25 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2020 to 25 May 2023)
    • SMF3 Executive Director (5 Jun 2020 to 25 May 2023)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • SMF4 Chief Risk (9 Dec 2019 to 28 Feb 2020)
    • CF28 Systems and controls (30 Aug 2019 to 8 Dec 2019)
  • TrinityBridge Fund Management Limited (no longer approved here)

    FRN 175827

    • SMF4 Chief Risk (9 Dec 2019 to 28 Feb 2020)
    • CF28 Systems and controls (30 Aug 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Oct 2016 to 21 Nov 2016)
    • CF11 Money Laundering Reporting (10 Oct 2016 to 21 Nov 2016)

Recent activity

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

No changes recorded yet.