Richard Mainon

IRN: RXM01824•Active

Type

Approved Person

Known As

Richard

Total Roles

22

Active Roles

5

Current Roles (5)

Firm	Role	Since
Candid Financial Planning Limited	SMF17 Money Laundering Reporting Officer (MLRO)	09/12/2019
Candid Financial Planning Limited	SMF16 Compliance Oversight	09/12/2019
Candid Financial Planning Limited	SMF3 Executive Director	09/12/2019
Candid Financial Planning Limited	[FCA CF] Client dealing	09/12/2019
Candid Financial Planning Limited	Responsible for Insurance Distribution	01/10/2018

Past Roles (17)

Firm	Role	From	To	Status
Candid Financial Planning Limited	CF30 Customer	04/01/2016	08/12/2019	Withdrawn
Candid Financial Planning Limited	CF11 Money Laundering Reporting	04/01/2016	08/12/2019	Withdrawn
Candid Financial Planning Limited	CF10 Compliance Oversight	04/01/2016	08/12/2019	Withdrawn
Candid Financial Planning Limited	CF1 Director	04/01/2016	08/12/2019	Withdrawn
Candid Financial Planning Limited	Responsible for Insurance Mediation	04/01/2016	30/09/2018	Converted
SANLAM PARTNERSHIPS LIMITED	CF1 Director (AR)	15/07/2015	31/12/2015	Withdrawn
SANLAM PARTNERSHIPS LIMITED	CF30 Customer	15/07/2015	31/12/2015	Withdrawn
Candid Financial Planning Ltd	Employed By	08/02/2012	31/12/2015	Terminated
Financial Limited	CF1 Director (AR)	08/02/2012	15/07/2015	Withdrawn
Financial Limited	CF30 Customer	08/02/2012	15/07/2015	Withdrawn
UHY Hacker Young	CF30 Customer	18/11/2009	08/02/2012	Withdrawn
Munroe James Ltd	Employed By	23/06/2009	25/11/2009	Terminated
Sesame Limited	CF30 Customer	23/06/2009	25/11/2009	Withdrawn
LIFT-Financial Ltd	CF30 Customer	11/09/2008	26/01/2009	Withdrawn
Atomos Financial Planning Limited	CF30 Customer	01/11/2007	20/08/2008	Withdrawn
Atomos Financial Planning Limited	CF21 Investment Adviser	26/07/2006	31/10/2007	Converted
Atomos Financial Planning Limited	CF22 Investment Adviser (Trainee)	17/01/2006	26/07/2006	Withdrawn (Form E)