Richard David Edward Spiller

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.

  • Simply IFA Limited

    FRN 711969

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 28 Aug 2020)
    • [FCA CF] Client dealing (since 28 Aug 2020)
    • [FCA CF] Manager of certification employee (since 28 Aug 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF30 Customer (9 Nov 2015 to 8 Dec 2019)
    • CF1 Director (9 Nov 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Nov 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Nov 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Nov 2015 to 30 Sep 2018)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • CF30 Customer (24 Oct 2014 to 9 Dec 2015)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (17 Feb 2009 to 2 Jul 2010)
  • Chantry Associates Limited (no longer approved here)

    FRN 213741

    • Employed By (1 Dec 2001 to 25 Feb 2009)

Recent activity

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

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