James Todd Richards

Last updated
1 week ago
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Where they hold approval

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

  • Nomura International Plc

    FRN 124422

    • [FCA CF] Material risk taker (since 28 Oct 2024)
    • [FCA CF] Manager of certification employee (since 30 Sep 2024)
    • [FCA CF] Client dealing (since 28 Aug 2024)
  • Nomura Bank International Plc.

    FRN 204419

    • [FCA CF] Material risk taker (since 28 Oct 2024)
    • [FCA CF] Manager of certification employee (since 30 Sep 2024)
    • [FCA CF] Client dealing (since 28 Aug 2024)
  • Eisler Capital (UK) Ltd (no longer approved here)

    FRN 709654

    • [FCA CF] Client dealing (25 May 2023 to 18 Aug 2024)
  • Canadian Imperial Bank of Commerce (no longer approved here)

    FRN 141285

    • [FCA CF] Manager of certification employee (10 Aug 2022 to 8 Feb 2023)
    • [FCA CF] Client dealing (10 Aug 2022 to 8 Feb 2023)
    • [FCA CF] Material risk taker (10 Aug 2022 to 8 Feb 2023)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (22 Sep 2008 to 25 Apr 2012)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (22 Sep 2008 to 25 Apr 2012)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.