Richard Kaye

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.

  • Portal Financial Planning Limited (no longer approved here)

    FRN 582149

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
    • SMF3 Executive Director (9 Dec 2019 to 24 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Mar 2023)
    • CF30 Customer (14 Aug 2012 to 21 Dec 2012)
    • CF1 Director (14 Aug 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Aug 2012 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 8 Oct 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.