Richard James Michael Peak

Watch for changes

Where they hold approval

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

Helmsley Securities Limited
FRN 665743
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (5 Nov 2015 to 8 Dec 2019)
- CF10 Compliance Oversight (5 Nov 2015 to 8 Dec 2019)
Helmsley Acceptances Limited
FRN 715178
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF1 Director (2 Feb 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (2 Feb 2016 to 8 Dec 2019)
Sturgeon Ventures LLP (no longer approved here)
FRN 452811
- CF1 Director (AR) (25 Mar 2015 to 27 Oct 2015)

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.