Richard Paul Hesketh

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Hesketh Financial Planning Limited

    FRN 927830

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
    • Responsible for Insurance Distribution (since 23 Oct 2020)
    • SMF16 Compliance Oversight (since 23 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Oct 2020)
    • SMF3 Executive Director (since 23 Oct 2020)
    • [FCA CF] Client dealing (since 23 Oct 2020)
  • PM&M Financial Planning Ltd (no longer approved here)

    FRN 459324

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jul 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Jul 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 24 Jul 2020)
    • CF10 Compliance Oversight (1 Oct 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2016 to 8 Dec 2019)
    • CF30 Customer (2 Apr 2012 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.