Ralph Richard Maison

Watch for changes

Where they hold approval

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

Aviva Investors Global Services Limited
FRN 119178
- [FCA CF] Client dealing (since 22 Jan 2020)
Societe Generale (no longer approved here)
FRN 124866
- CF30 Customer (24 Aug 2015 to 6 Mar 2016)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (11 Nov 2013 to 22 May 2015)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (18 Jan 2011 to 25 Jul 2013)
- CF21 Investment Adviser (17 Oct 2007 to 31 Oct 2007)
R.J. O'Brien Limited (no longer approved here)
FRN 114120
- CF21 Investment Adviser (12 Jan 2004 to 8 Nov 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.