John Ruffles

Watch for changes

Where they hold approval

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

Marex Spectron International Limited
FRN 193027
- [FCA CF] Client dealing (since 18 Aug 2020)
Evolution Markets Limited (no longer approved here)
FRN 224510
- CF30 Customer (24 Nov 2017 to 8 Dec 2019)
TP ICAP E&C Limited (no longer approved here)
FRN 146880
- CF30 Customer (18 Jul 2016 to 23 May 2017)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF30 Customer (18 Jul 2016 to 23 May 2017)
Vantage Capital Markets LLP (no longer approved here)
FRN 416697
- CF30 Customer (5 Oct 2012 to 30 Apr 2013)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (1 Dec 2011 to 3 Aug 2012)
TRADITION FINANCIAL SERVICES LTD. (no longer approved here)
FRN 147543
- CF21 Investment Adviser (26 Jul 2006 to 31 Jul 2007)
ADM Investor Services International Limited (no longer approved here)
FRN 148474
- CF21 Investment Adviser (1 Dec 2001 to 20 Feb 2004)

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.