Richard James Price

Last updated
5 days ago
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Where they hold approval

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

  • Apollo Financial Consultancy Ltd

    FRN 1019788

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2025)
    • SMF3 Executive Director (since 1 Jul 2025)
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • Responsible for Insurance Distribution (since 1 Jul 2025)
    • SMF16 Compliance Oversight (since 1 Jul 2025)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (23 Feb 2021 to 28 Jan 2025)
    • [FCA CF] Client dealing (23 Feb 2021 to 28 Jan 2025)
    • CF30 Customer (7 Feb 2018 to 8 Dec 2019)

Recent activity

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

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