Richard Westwood

Last updated
5 days ago
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Where they hold approval

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

  • RBIM INVESTMENT MANAGEMENT LIMITED

    FRN 1035655

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2026)
    • [FCA CF] Client dealing (since 6 Jan 2026)
    • SMF3 Executive Director (since 22 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Dec 2025)
    • SMF16 Compliance Oversight (since 22 Dec 2025)
  • Rothesay Bennett Limited

    FRN 795885

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 9 Mar 2018)
    • Responsible for Insurance Mediation (9 Mar 2018 to 30 Sep 2018)
    • CF30 Customer (9 Mar 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Mar 2018 to 6 Jun 2019)
    • CF10 Compliance Oversight (9 Mar 2018 to 8 Dec 2019)
    • CF1 Director (9 Mar 2018 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF30 Customer (21 Jun 2017 to 8 Mar 2018)
    • CF1 Director (AR) (21 Jun 2017 to 8 Mar 2018)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (9 May 2011 to 12 Jul 2016)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 25 Apr 2008)
    • CF22 Investment Adviser (Trainee) (11 Sep 2006 to 31 Oct 2007)

Recent activity

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

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