Richard Caldicott

Watch for changes

Where they hold approval

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

Hargreaves Lansdown Advisory Services Limited
FRN 189627
- SMF3 Executive Director (since 12 Jan 2023)
- [FCA CF] Manager of certification employee (3 Oct 2022 to 12 Jan 2023)
- [FCA CF] Material risk taker (3 Oct 2022 to 12 Jan 2023)
- [FCA CF] Significant management (3 Oct 2022 to 12 Jan 2023)
HARGREAVES LANSDOWN FUND MANAGERS LTD. (no longer approved here)
FRN 166016
- [FCA CF] Material risk taker (3 Oct 2022 to 21 Aug 2024)
Hargreaves Lansdown Savings Limited (no longer approved here)
FRN 915119
- [FCA CF] Material risk taker (3 Oct 2022 to 21 Aug 2024)
M&G ADVICE PARTNERS LIMITED (no longer approved here)
FRN 584256
- SMF3 Executive Director (17 Mar 2022 to 16 May 2022)
M & G Securities Limited (no longer approved here)
FRN 122057
- [FCA CF] Significant management (13 Jul 2020 to 30 Jun 2022)

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.