Richard Holland

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.

  • Cathedral Financial Services LLP

    FRN 438073

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 Jan 2020)
    • [FCA CF] Client dealing (since 9 Jan 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 11 Nov 2019)
    • Responsible for Insurance Distribution (since 11 Nov 2019)
    • CF10 Compliance Oversight (11 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Nov 2019 to 8 Dec 2019)
    • CF4 Partner (29 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (23 Feb 2016 to 8 Dec 2019)
  • Premier Clients (Swansea) Limited

    FRN 831388

    • 11. Pension transfer specialist
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Apr 2019 to 8 Dec 2019)
  • ValidPath Limited (no longer approved here)

    FRN 197107

    • CF1 Director (AR) (27 Aug 2013 to 10 Jan 2018)
    • CF30 Customer (5 Aug 2013 to 10 Jan 2018)

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