Richard Hall

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.

  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Manager of certification employee (9 Dec 2021 to 17 May 2024)
    • [FCA CF] Material risk taker (9 Dec 2021 to 21 Feb 2023)
    • [FCA CF] Client dealing (9 Dec 2021 to 17 May 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)
  • SMBC Bank International plc (no longer approved here)

    FRN 223304

    • [FCA CF] Client dealing (1 Jul 2021 to 17 May 2024)
    • [FCA CF] Manager of certification employee (1 Jul 2021 to 17 May 2024)
  • Sumitomo Mitsui Banking Corporation, London Branch (no longer approved here)

    FRN 769072

    • [FCA CF] Manager of certification employee (7 Feb 2020 to 17 May 2024)
    • [FCA CF] Client dealing (1 Mar 2018 to 17 May 2024)
  • SMBC Derivative Products Limited (no longer approved here)

    FRN 172073

    • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 May 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Oct 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.