William Richardson Rippon

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.

  • Rippon Financial Management Limited

    FRN 486259

    • 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)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF8 Apportionment and Oversight (28 Aug 2008 to 31 Mar 2009)
    • CF1 Director (28 Aug 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 Aug 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Aug 2008 to 8 Dec 2019)
    • CF30 Customer (28 Aug 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Aug 2008 to 30 Sep 2018)
  • The R J H Group (no longer approved here)

    FRN 195672

    • (1)Employed By (27 Feb 2002 to 28 Apr 2006)

Recent activity

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

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