Helen Jane Richards

Watch for changes

Where they hold approval

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

Pemberton Capital Advisors LLP (no longer approved here)
FRN 561640
- [FCA CF] Material risk taker (28 Feb 2022 to 24 Jul 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Jul 2025)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2024)
- CF4 Partner (23 Oct 2015 to 5 Dec 2018)
- CF10 Compliance Oversight (23 Oct 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (23 Oct 2015 to 8 Dec 2019)
Neuberger Berman Europe Limited (no longer approved here)
FRN 442488
- CF10 Compliance Oversight (26 May 2009 to 23 Feb 2015)
- CF11 Money Laundering Reporting (26 May 2009 to 23 Feb 2015)

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.