John Gene Rio

Watch for changes

Where they hold approval

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

SOUND FINANCIAL MANAGEMENT LIMITED (no longer approved here)
FRN 192052
- CF30 Customer (9 Jun 2014 to 31 Dec 2017)
Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF1 Director (AR) (1 Apr 2011 to 30 Apr 2014)
- CF30 Customer (1 Apr 2011 to 30 Apr 2014)
Westward Asset Management Ltd (no longer approved here)
FRN 414730
- Employed By (7 Jan 2005 to 30 Apr 2014)

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.