Stuart Arthur

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.

  • Rite Wealth Ltd

    FRN 622187

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • [FCA CF] Client dealing (since 29 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 29 Sep 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 5 Mar 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Mar 2026)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 5 Mar 2026)
    • Responsible for Insurance Mediation (9 Jul 2014 to 30 Sep 2018)
    • CF30 Customer (9 Jul 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Jul 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Jul 2014 to 8 Dec 2019)
    • CF1 Director (9 Jul 2014 to 8 Dec 2019)
  • Prudent Financial Management (no longer approved here)

    FRN 194756

    • (11)Employed By (9 May 2001 to 5 Dec 2006)

Recent activity

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

No changes recorded yet.