Richard Michael Bamber

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.

  • Richard Bamber & Company Limited

    FRN 222626

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Significant management (since 1 Dec 2020)
    • Responsible for Insurance Distribution (since 30 Jan 2020)
    • SMF16 Compliance Oversight (since 30 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2020)
    • SMF3 Executive Director (since 30 Jan 2020)
    • SMF1 Chief Executive (since 30 Jan 2020)
    • CF30 Customer (13 Mar 2013 to 8 Dec 2019)
  • Richard Bamber & Company (Mortgages) Ltd

    FRN 308010

    • [FCA CF] Significant management (since 1 Dec 2020)
    • [FCA CF] Manager of certification employee (since 1 Dec 2020)
    • SMF3 Executive Director (since 30 Jan 2020)
    • SMF16 Compliance Oversight (since 30 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2020)
    • Responsibility for MCD Intermediation (since 30 Jan 2020)
    • Responsible for Insurance Distribution (since 30 Jan 2020)
    • SMF1 Chief Executive (since 30 Jan 2020)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 15 Mar 2013)
    • CF21 Investment Adviser (28 Feb 2005 to 31 Oct 2007)

Recent activity

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

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