Richard Garmon-Jones

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.

  • Punter Southall SIPP Limited

    FRN 189480

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Apr 2007 to 8 Dec 2019)
  • Howden Employee Benefits & Wellbeing Limited (no longer approved here)

    FRN 312841

    • CF10 Compliance Oversight (12 Apr 2013 to 1 Feb 2019)
    • CF11 Money Laundering Reporting (12 Apr 2013 to 1 Feb 2019)
  • XPS Investment Limited (no longer approved here)

    FRN 528774

    • CF11 Money Laundering Reporting (8 Jul 2011 to 1 Apr 2019)
    • CF10 Compliance Oversight (8 Jul 2011 to 1 Apr 2019)
  • Schroders IS Limited (no longer approved here)

    FRN 195028

    • CF11 Money Laundering Reporting (16 Oct 2002 to 31 Mar 2003)
    • CF10 Compliance Oversight (16 Oct 2002 to 31 Mar 2003)

Recent activity

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

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