David John Richards

Watch for changes

Where they hold approval

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

Mitsubishi HC Capital UK PLC
FRN 704348
- [FCA CF] Significant management (since 22 Jan 2021)
Interactive Investor Services Limited (no longer approved here)
FRN 141282
- CF11 Money Laundering Reporting (4 Apr 2016 to 1 Jan 2018)
Sarasin Investment Funds Limited (no longer approved here)
FRN 122244
- CF11 Money Laundering Reporting (1 Jan 2010 to 3 Jan 2014)
SARASIN ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 163584
- CF11 Money Laundering Reporting (6 Mar 2008 to 25 Nov 2008)
Sarasin & Partners LLP (no longer approved here)
FRN 475111
- CF11 Money Laundering Reporting (6 Mar 2008 to 25 Nov 2008)

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.