Richard John Dodson

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.

  • Newbridge Advisors LLP

    FRN 630455

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Feb 2020)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2015 to 8 Dec 2019)
  • Pegasus Capital LLP (no longer approved here)

    FRN 552790

    • CF30 Customer (9 Oct 2012 to 10 Apr 2014)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (1 Nov 2007 to 12 Jun 2012)
    • CF21 Investment Adviser (14 Dec 2006 to 31 Oct 2007)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (1 Nov 2007 to 12 Jun 2012)
    • CF21 Investment Adviser (14 Dec 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.