richard bateson

Last updated
1 week ago
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Where they hold approval

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

  • Bateson Asset Management Limited

    FRN 747038

    • [FCA CF] Algorithmic trading (since 1 May 2021)
    • [FCA CF] Significant management (since 1 May 2021)
    • [PRA CF] Key function holder (since 1 May 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (4 Sep 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Sep 2018 to 8 Dec 2019)
    • CF3 Chief Executive (16 Nov 2016 to 8 Dec 2019)
    • CF1 Director (16 Nov 2016 to 8 Dec 2019)
    • CF30 Customer (16 Nov 2016 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (9 Dec 2019 to 4 May 2023)
  • ALTERA PARTNERS MANAGEMENT LIMITED (no longer approved here)

    FRN 231034

    • CF1 Director (1 Apr 2016 to 4 Sep 2018)
    • CF30 Customer (1 Dec 2013 to 4 Sep 2018)
  • GLG Partners LP (no longer approved here)

    FRN 186093

    • CF30 Customer (14 Jan 2013 to 27 Mar 2013)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF21 Investment Adviser (1 Dec 2001 to 10 Sep 2003)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF21 Investment Adviser (1 Dec 2001 to 10 Sep 2003)

Recent activity

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

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