Richard henry john Harris

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • GMG Brokers Ltd

    FRN 497432

    • SMF3 Executive Director (since 27 Apr 2023)
  • Alderic Limited

    FRN 914449

    • [FCA CF] Client dealing (since 17 Jan 2022)
    • SMF3 Executive Director (since 16 Mar 2020)
  • Alph Capital Limited (no longer approved here)

    FRN 756192

    • (16)[FCA CF] Client dealing (7 Sep 2020 to 12 Jan 2022)
    • (13)SMF3 Executive Director (1 May 2020 to 12 Jan 2022)
    • (12)SMF16 Compliance Oversight (9 Dec 2019 to 12 Jan 2022)
    • (11)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Jan 2022)
    • (14)CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)
    • (15)CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
  • Omni Partners LLP (no longer approved here)

    FRN 416689

    • CF10 Compliance Oversight (14 Sep 2011 to 11 Nov 2011)

Recent activity

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

  1. controlled function added: (11)SMF17 Money Laundering Reporting Officer (MLRO) at Alph Capital Limited

  2. controlled function added: (12)SMF16 Compliance Oversight at Alph Capital Limited

  3. controlled function added: (13)SMF3 Executive Director at Alph Capital Limited

  4. controlled function added: (14)CF11 Money Laundering Reporting at Alph Capital Limited

  5. controlled function added: (15)CF10 Compliance Oversight at Alph Capital Limited

  6. controlled function added: (16)[FCA CF] Client dealing at Alph Capital Limited