Richard Eric Johnston

Last updated
4 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • RJ Asset Management Ltd

    FRN 996181

    • 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] Functions requiring qualifications (since 12 Feb 2024)
    • SMF3 Executive Director (since 12 Feb 2024)
    • [FCA CF] Client dealing (since 12 Feb 2024)
    • Responsible for Insurance Distribution (since 12 Feb 2024)
    • SMF16 Compliance Oversight (since 12 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Feb 2024)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF21 Investment Adviser (8 Dec 2005 to 27 Sep 2006)
    • CF22 Investment Adviser (Trainee) (25 Jul 2005 to 8 Dec 2005)

Recent activity

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

No changes recorded yet.