Richard Broom

Watch for changes

Where they hold approval

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

Skandinaviska Enskilda Banken AB (Publ)
FRN 124943
- [FCA CF] Client dealing (since 3 Mar 2017)
- CF30 Customer (17 Mar 2014 to 6 Mar 2016)
The Toronto-Dominion Bank (no longer approved here)
FRN 124859
- CF30 Customer (22 May 2009 to 18 Dec 2013)
Citibank, N.A. (no longer approved here)
FRN 124704
- CF30 Customer (1 Nov 2007 to 27 Nov 2008)
- CF21 Investment Adviser (21 Apr 2006 to 31 Oct 2007)
MUFG BANK, LTD (no longer approved here)
FRN 139189
- CF21 Investment Adviser (30 Sep 2003 to 7 Oct 2005)

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.