Richard Charles Davies

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.

  • PRISM INDEPENDENT FINANCIAL MANAGEMENT LIMITED

    FRN 426567

    • 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] CASS oversight function (since 30 Oct 2020)
    • [FCA CF] Significant management (since 30 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 30 Oct 2020)
    • [FCA CF] Client dealing (since 30 Oct 2020)
    • 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)
    • Responsible for Insurance Mediation (6 May 2012 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (24 Apr 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Apr 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Apr 2005 to 18 Oct 2007)
    • CF1 Director (21 Apr 2005 to 8 Dec 2019)
  • Neil Proctor (no longer approved here)

    FRN 189630

    • (6)Employed By (1 Apr 2000 to 23 Dec 2002)

Recent activity

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

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