Richard Edward Davies

Last updated
3 weeks ago
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Where they hold approval

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

  • SMBC Bank International plc (no longer approved here)

    FRN 223304

    • [PRA CF] Significant risk taker or Material risk taker (7 Oct 2024 to 14 Feb 2025)
    • [FCA CF] Material risk taker (7 Oct 2024 to 14 Feb 2025)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • SMF4 Chief Risk (9 Dec 2019 to 14 Feb 2025)
    • CF28 Systems and controls (8 Sep 2015 to 8 Dec 2019)
  • SMBC Derivative Products Limited (no longer approved here)

    FRN 172073

    • CF28 Systems and controls (8 Sep 2015 to 8 Dec 2019)
  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • CF28 Systems and controls (26 Jan 2010 to 25 Feb 2013)
    • CF1 Director (26 Jan 2010 to 25 Feb 2013)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • CF14 Risk Assessment (26 Aug 2003 to 11 Jul 2005)
  • TD Bank Europe Limited (no longer approved here)

    FRN 165556

    • CF14 Risk Assessment (26 Aug 2003 to 11 Jul 2005)

Recent activity

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

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