Richard John Powell

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.

  • ROGATE CAPITAL LTD

    FRN 502263

    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [PRA CF] Key function holder (since 3 Mar 2021)
    • [FCA CF] Benchmark submission and administration (since 3 Mar 2021)
    • [FCA CF] Client dealing (since 3 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2021)
    • [FCA CF] Significant management (since 3 Mar 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (18 Jan 2010 to 8 Dec 2019)
    • CF1 Director (18 Jan 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 Jan 2010 to 30 Sep 2018)
    • CF10 Compliance Oversight (18 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jan 2010 to 8 Dec 2019)

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