Richard Wayne De Larrinaga Harper

Last updated
3 weeks ago
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Where they hold approval

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

  • GHC CAPITAL MARKETS LTD.

    FRN 152998

    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (24 Jan 2005 to 31 Oct 2007)
    • CF27 Investment Management (24 Jan 2005 to 31 Oct 2007)
  • Charteris Treasury Portfolio Managers Limited (no longer approved here)

    FRN 114952

    • CF26 Customer Trading (1 Dec 2001 to 18 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 18 Oct 2004)
    • CF1 Director (1 Dec 2001 to 18 Oct 2004)
    • CF27 Investment Management (1 Dec 2001 to 18 Oct 2004)

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