Richard James Spalton

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Where they hold approval

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

Franklin Templeton Investment Management Limited
FRN 121779
- [FCA CF] Client dealing (since 1 Sep 2021)
- [FCA CF] Manager of certification employee (22 Oct 2021 to 22 Dec 2022)
- [FCA CF] Functions requiring qualifications (1 Sep 2021 to 30 Sep 2025)
FIL Investment Services (UK) Limited (no longer approved here)
FRN 121939
- CF30 Customer (11 Jul 2008 to 30 Jan 2009)
FIL Investments International (no longer approved here)
FRN 122170
- CF30 Customer (11 Jul 2008 to 17 May 2013)
FIL Pensions Management (no longer approved here)
FRN 144345
- CF30 Customer (11 Jul 2008 to 30 Jan 2009)
FIL Investment Advisors (UK) Limited (no longer approved here)
FRN 159360
- CF30 Customer (11 Jul 2008 to 30 Jan 2009)

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.