Thor Richard Phillips

Watch for changes

Where they hold approval

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

ValidPath Financial Limited (no longer approved here)
FRN 836465
- Responsibility for MCD Intermediation (8 Mar 2023 to 8 Mar 2023)
- Responsible for Insurance Distribution (8 Mar 2023 to 8 Mar 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Mar 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 6 Mar 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 18 Dec 2024)
- CF30 Customer (3 Sep 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (3 Sep 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Sep 2019 to 8 Dec 2019)
- CF29 Significant management (3 Sep 2019 to 8 Dec 2019)
Nationwide Building Society (no longer approved here)
FRN 106078
- CF21 Investment Adviser (2 Sep 2002 to 10 Aug 2006)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 2 Sep 2002)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.