Richard Ian Tolkien

Watch for changes

Where they hold approval

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

SRP Risk & Finance LLP (no longer approved here)
FRN 499724
- CF30 Customer (15 Dec 2009 to 31 Oct 2012)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF21 Investment Adviser (9 May 2005 to 2 Oct 2006)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF21 Investment Adviser (9 May 2005 to 2 Oct 2006)
Macquarie Bank Ltd (no longer approved here)
FRN 170934
- CF21 Investment Adviser (14 Apr 2003 to 23 Jul 2004)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF21 Investment Adviser (14 Apr 2003 to 23 Jul 2004)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (1 Jul 2002 to 5 Sep 2002)

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.