Richard Philip Bernstein

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.

  • Crystal Amber Advisers (UK) LLP

    FRN 468247

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Oct 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Oct 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (30 Oct 2007 to 31 Oct 2007)
    • CF3 Chief Executive (30 Oct 2007 to 8 Dec 2019)
    • CF4 Partner (30 Oct 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Oct 2007 to 31 Mar 2009)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • CF2 Non Executive Director (1 Dec 2001 to 30 Jun 2004)

Recent activity

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

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