Richard Phillip Knott

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.

  • Finli (FLP) Ltd (no longer approved here)

    FRN 586744

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
    • SMF3 Executive Director (9 Dec 2019 to 14 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Sep 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Sep 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 14 Sep 2021)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 14 Sep 2021)
    • CF1 Director (4 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (4 Dec 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Dec 2012 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (4 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Dec 2012 to 8 Dec 2019)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (17 Oct 2012 to 31 Dec 2012)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (27 Mar 2009 to 1 Apr 2012)
  • Ashley Law Limited (no longer approved here)

    FRN 498488

    • Employed By (27 Mar 2009 to 30 Sep 2012)

Recent activity

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

No changes recorded yet.