Richard Declan Wernham

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.

  • Simple Solutions Financial Management Ltd

    FRN 511977

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jul 2024)
    • Responsible for Insurance Distribution (since 17 Jul 2024)
    • SMF16 Compliance Oversight (since 17 Jul 2024)
    • SMF3 Executive Director (since 21 Oct 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (16 May 2018 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Feb 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Feb 2022)
    • CF30 Customer (15 Jan 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.