Richard Alexander James Hockings

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Where they hold approval

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

Schonfeld Strategic Advisors (UK) LLP
FRN 816269
- [FCA CF] Client dealing (since 16 Mar 2026)
North Rock Capital Management (UK) LLP (no longer approved here)
FRN 937100
- [FCA CF] Manager of certification employee (1 Jul 2022 to 29 Aug 2024)
- [FCA CF] Client dealing (24 Jan 2022 to 30 Apr 2025)
Mirabella Financial Services LLP (no longer approved here)
FRN 415559
- [FCA CF] Client dealing (9 Dec 2019 to 21 Jan 2022)
- CF30 Customer (10 May 2019 to 8 Dec 2019)
TT International Investment Management LLP (no longer approved here)
FRN 599295
- CF30 Customer (6 Aug 2013 to 17 Oct 2014)
SFM UK Management LLP (no longer approved here)
FRN 486382
- CF30 Customer (11 Jan 2010 to 31 Dec 2012)
Lazard Asset Management Limited (no longer approved here)
FRN 121839
- CF30 Customer (1 Nov 2007 to 29 Jul 2008)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

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.