John Riley

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • SMBC Bank International plc

    FRN 223304

    • [FCA CF] Client dealing (since 23 Sep 2024)
    • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Manager of certification employee (20 Mar 2023 to 29 Jan 2026)
    • [FCA CF] Client dealing (9 Dec 2021 to 29 Jan 2026)
    • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
    • CF30 Customer (14 Mar 2014 to 8 Dec 2019)
  • Mizuho International plc (no longer approved here)

    FRN 119256

    • CF30 Customer (12 Dec 2008 to 5 Dec 2013)
  • Novate Global Markets Limited (no longer approved here)

    FRN 124624

    • (307)CF21 Investment Adviser (1 Dec 2001 to 5 Mar 2007)

Recent activity

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

  1. controlled function added: (307)CF21 Investment Adviser at Novate Global Markets Limited