Philip John Risley

Watch for changes

Where they hold approval

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

ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED
FRN 607483
- [FCA CF] Algorithmic trading (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (1 Apr 2014 to 8 Dec 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF21 Investment Adviser (1 Dec 2001 to 11 Jun 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.