Rita Malhotra

Last updated
1 week ago
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Where they hold approval

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

  • GQ INDEPENDENT LIMITED

    FRN 806366

    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (5 Nov 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 Sep 2018 to 8 Dec 2019)
    • CF1 Director (28 Sep 2018 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (13 Aug 2010 to 27 Sep 2018)
    • CF30 Customer (13 Aug 2010 to 27 Sep 2018)
  • GQ Independent Ltd (no longer approved here)

    FRN 228584

    • Employed By (13 Aug 2010 to 28 Sep 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF22 Investment Adviser (Trainee) (22 Jan 2003 to 15 Sep 2004)

Recent activity

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

No changes recorded yet.