Richard Harry

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.

  • HHPG Limited

    FRN 191436

    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 14 Jun 2016)
    • CF10 Compliance Oversight (14 Jun 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jun 2016 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF11 Money Laundering Reporting (8 Jun 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (21 Nov 2002 to 31 Oct 2007)
    • CF1 Director (21 Nov 2002 to 8 Dec 2019)
  • Best Price Financial Services Limited

    FRN 615229

    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 13 Jun 2016)
    • CF30 Customer (4 Aug 2014 to 8 Dec 2019)
    • CF1 Director (4 Aug 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Aug 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Aug 2014 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.