Richard Leslie Walter

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.

  • WPS ADVISORY Ltd (no longer approved here)

    FRN 624546

    • SMF16 Compliance Oversight (24 Jul 2023 to 21 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jul 2023 to 21 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2025)
    • CF29 Significant management (7 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (30 Oct 2017 to 8 Dec 2019)

Recent activity

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

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