Richard Eric McCaughan

Last updated
6 days ago
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Where they hold approval

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

  • Chartered Financial Solutions Limited

    FRN 940511

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 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] Client dealing (since 14 May 2021)
    • SMF3 Executive Director (since 14 May 2021)
    • Responsibility for MCD Intermediation (since 14 May 2021)
    • Responsible for Insurance Distribution (since 14 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 May 2021)
    • SMF16 Compliance Oversight (since 14 May 2021)
    • [FCA CF] Significant management (since 14 May 2021)
    • [FCA CF] Material risk taker (since 14 May 2021)
    • [FCA CF] Functions requiring qualifications (since 14 May 2021)
    • Director of firm who is not a certification employee or a SMF manager (14 May 2021 to 15 May 2021)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 May 2021)
    • CF30 Customer (11 May 2009 to 14 May 2021)
    • CF1 Director (AR) (11 May 2009 to 14 May 2021)
  • Chartered Financial Solutions Ltd (no longer approved here)

    FRN 484590

    • Employed By (7 Jul 2008 to 14 May 2021)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

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