Richard William Mumford

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.

  • Greenwood Financial Planning LLP

    FRN 518096

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Apr 2025)
    • SMF27 Partner (9 Dec 2019 to 31 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2026)
    • CF1 Director (AR) (1 Mar 2011 to 13 Sep 2024)
    • Responsible for Insurance Mediation (31 Aug 2010 to 30 Sep 2018)
    • CF4 Partner (31 Aug 2010 to 8 Dec 2019)
    • CF30 Customer (31 Aug 2010 to 13 Sep 2024)
    • CF11 Money Laundering Reporting (31 Aug 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (31 Aug 2010 to 8 Dec 2019)
  • THP Financial Services Limited (no longer approved here)

    FRN 193466

    • Employed By (1 Oct 2010 to 13 Sep 2024)

Recent activity

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

No changes recorded yet.