Richard Malcolm Caws

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Where they hold approval

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

Argentis Wealth Management Ltd (no longer approved here)
FRN 419331
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Feb 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 29 Feb 2024)
- CF30 Customer (27 Apr 2016 to 19 Dec 2022)
Vision Independent Financial Planning Ltd (no longer approved here)
FRN 487395
- CF30 Customer (16 Sep 2015 to 14 Dec 2015)
COLL PERKINS LIMITED (no longer approved here)
FRN 554817
- Employed By (16 Sep 2015 to 14 Dec 2015)
AYRES PUNCHARD INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 492377
- CF30 Customer (1 Mar 2015 to 10 Jul 2015)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.