Richard James Mann

Last updated
2 weeks ago
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Where they hold approval

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

  • The Bank of New York Mellon

    FRN 122467

    • [FCA CF] Client dealing (since 27 Jan 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 27 Jan 2021)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • [FCA CF] Manager of certification employee (2 Aug 2019 to 30 Oct 2020)
    • [FCA CF] Client dealing (27 Dec 2018 to 30 Oct 2020)
  • Goldman Sachs International Bank (no longer approved here)

    FRN 124659

    • CF30 Customer (19 Aug 2013 to 6 Mar 2016)
  • Goldman Sachs Bank USA (no longer approved here)

    FRN 582328

    • CF30 Customer (19 Aug 2013 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 21 May 2013)
    • CF21 Investment Adviser (23 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Sep 2005 to 23 Jun 2006)

Recent activity

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

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