Nicholas Roy James Ralph

Watch for changes

Where they hold approval

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

Prosper Protect Limited (no longer approved here)
FRN 912838
- [FCA CF] Functions requiring qualifications (29 Mar 2021 to 10 Aug 2021)
Openwork Limited (no longer approved here)
FRN 408285
- CF1 Director (AR) (8 Oct 2020 to 26 Mar 2021)
- CF30 Customer (8 Oct 2020 to 26 Mar 2021)
- Appointed representative dealing with clients for which they require qualification (1 Oct 2020 to 26 Mar 2021)
Artifact Financial Discovery Ltd (no longer approved here)
FRN 934538
- Employed By (8 Oct 2020 to 26 Mar 2021)

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.