David Ric

• Graham Capital LLP

  FRN 564058

  • [FCA CF] Client dealing (since 20 May 2024)
• Falco Investment Management Limited (no longer approved here)

  FRN 814308

  • SMF16 Compliance Oversight (5 May 2022 to 13 Feb 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (5 May 2022 to 13 Feb 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 Apr 2024)
  • SMF3 Executive Director (9 Dec 2019 to 8 Jan 2024)
  • CF1 Director (10 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (1 Oct 2018 to 8 Dec 2019)
• BlackRock Advisors (UK) Limited (no longer approved here)

  FRN 119186

  • CF30 Customer (5 Feb 2013 to 14 Jan 2015)
• BlackRock Investment Management (UK) Limited (no longer approved here)

  FRN 119293

  • CF30 Customer (5 Feb 2013 to 14 Jan 2015)
• BlackRock International Limited (no longer approved here)

  FRN 178638

  • CF30 Customer (5 Feb 2013 to 14 Jan 2015)
• UBS Asset Management (UK) Ltd (no longer approved here)

  FRN 119319

  • CF30 Customer (1 Nov 2007 to 30 Oct 2012)
  • CF27 Investment Management (14 Aug 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (14 Aug 2007 to 31 Oct 2007)
• JPMorgan Chase Bank, National Association (no longer approved here)

  FRN 124491

  • CF21 Investment Adviser (1 Dec 2001 to 12 Dec 2002)
• J.P. Morgan Europe Limited (no longer approved here)

  FRN 124579

  • CF21 Investment Adviser (1 Dec 2001 to 12 Dec 2002)
• J.P. Morgan Securities plc (no longer approved here)

  FRN 155240

  • CF21 Investment Adviser (1 Dec 2001 to 12 Dec 2002)

No changes recorded yet.