Nicholas John Rickard

Watch for changes

Where they hold approval

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

Laven Advisors LLP (no longer approved here)
FRN 447282
- CF1 Director (AR) (8 Dec 2016 to 2 Nov 2017)
- CF30 Customer (8 Dec 2016 to 2 Nov 2017)
Bank of London and The Middle East plc (no longer approved here)
FRN 464292
- CF30 Customer (15 Jun 2010 to 7 Jul 2014)
Schroders IS Limited (no longer approved here)
FRN 195028
- CF30 Customer (1 Nov 2007 to 8 Apr 2008)
- CF27 Investment Management (7 Dec 2006 to 31 Oct 2007)
BlackRock Advisors (UK) Limited (no longer approved here)
FRN 119186
- CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2003)

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.