Richard Alexander Hollingworth

Watch for changes

Where they hold approval

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

Canadian Imperial Bank of Commerce (no longer approved here)
FRN 141285
- [FCA CF] Client dealing (6 Mar 2017 to 16 Jul 2021)
- CF30 Customer (18 May 2011 to 6 Mar 2016)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (266)CF30 Customer (24 Apr 2008 to 22 Jul 2010)

Updates to this individual's record on the FCA register.

1 day ago
controlled function added: (266)CF30 Customer at Novate Global Markets Limited

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.