Richard Harper

Last updated
1 week ago
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Where they hold approval

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

  • HSBC UK Bank Plc

    FRN 765112

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Manager of certification employee (since 28 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 17 Aug 2018)
    • [FCA CF] Manager of certification employee (13 Jan 2020 to 4 Feb 2021)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (13 Apr 2018 to 4 Dec 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (27 Jun 2016 to 3 Apr 2017)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (14 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Sep 2006 to 14 Mar 2007)

Recent activity

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

No changes recorded yet.