Richard David Walter Haas

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.

  • The Basingstoke Citizens Advice Bureau Limited

    FRN 617502

    • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2022)
  • CapeView Capital LLP (no longer approved here)

    FRN 556012

    • [FCA CF] Material risk taker (9 Dec 2020 to 1 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2021)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Jan 2021)
    • SMF27 Partner (9 Dec 2019 to 1 Jul 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2021)
    • CF3 Chief Executive (1 Apr 2017 to 8 Dec 2019)
    • CF4 Partner (14 Nov 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Nov 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Nov 2011 to 8 Dec 2019)
    • CF28 Systems and controls (14 Nov 2011 to 7 Feb 2017)
  • Artemis Fund Managers Limited (no longer approved here)

    FRN 122448

    • CF1 Director (1 Dec 2001 to 30 Aug 2002)
    • CF13 Finance (1 Dec 2001 to 9 Sep 2002)

Recent activity

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

No changes recorded yet.