Richard Warne

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.

  • Novia Financial Plc

    FRN 481600

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 30 Jun 2023)
  • YOU Asset Management Limited (no longer approved here)

    FRN 543459

    • [FCA CF] Material risk taker (9 Nov 2020 to 22 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Nov 2020 to 22 Jul 2022)
    • [FCA CF] Client dealing (9 Nov 2020 to 22 Jul 2022)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Manager of certification employee (17 May 2018 to 23 Mar 2020)
    • [FCA CF] Functions requiring qualifications (7 Mar 2018 to 23 Mar 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 23 Mar 2020)
    • CF30 Customer (1 Sep 2013 to 6 Mar 2016)
    • CF27 Investment Management (3 Jun 2003 to 1 Jul 2007)
    • CF21 Investment Adviser (3 Jun 2003 to 1 Jul 2007)
  • UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)

    FRN 114627

    • CF30 Customer (1 Nov 2007 to 1 Sep 2013)
    • CF27 Investment Management (9 May 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (9 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.