Duncan Winfield Riefler

Watch for changes

Where they hold approval

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

Guggenheim Securities International Ltd (no longer approved here)
FRN 485435
- CF3 Chief Executive (5 Jun 2015 to 4 Nov 2015)
- CF1 Director (27 Jul 2012 to 4 Nov 2015)
- CF30 Customer (27 Jul 2012 to 4 Nov 2015)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (23 Jan 2009 to 30 Apr 2009)

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.