David S Richard

Watch for changes

Where they hold approval

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

Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- [FCA CF] Manager of certification employee (7 Sep 2016 to 16 Dec 2019)
- [FCA CF] Algorithmic trading (7 Sep 2016 to 16 Dec 2019)
Morgan Stanley Bank International Limited (no longer approved here)
FRN 195430
- [FCA CF] Algorithmic trading (7 Sep 2016 to 16 Dec 2019)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 16 Dec 2019)
Citadel Securities (Europe) Limited (no longer approved here)
FRN 447450
- CF30 Customer (19 Aug 2009 to 15 Jan 2013)
Commerzbank AG (no longer approved here)
FRN 124920
- CF30 Customer (11 May 2009 to 19 Jun 2009)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF21 Investment Adviser (15 Sep 2003 to 12 Jul 2007)

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.