Richard John Oliver

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • HSBC Bank Plc

    FRN 114216

    • [FCA CF] Significant management (since 6 Sep 2022)
    • [PRA CF] Managing a material risk taker (since 16 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 31 Dec 2019)
    • [FCA CF] Manager of certification employee (since 31 May 2019)
    • [FCA CF] Client dealing (since 18 Apr 2019)
  • HSBC UK Bank Plc

    FRN 765112

    • [FCA CF] Significant management (since 6 Sep 2022)
    • [PRA CF] Managing a material risk taker (since 16 Sep 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 19 Aug 2020)
    • [FCA CF] Manager of certification employee (since 31 May 2019)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Client dealing (10 Jan 2018 to 18 Jan 2019)
    • [FCA CF] Manager of certification employee (3 Jan 2018 to 18 Jan 2019)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Material risk taker (18 Jan 2017 to 18 Jan 2019)
    • [FCA CF] Manager of certification employee (11 Nov 2016 to 18 Jan 2019)
    • [FCA CF] Client dealing (11 Nov 2016 to 18 Jan 2019)
    • [FCA CF] Algorithmic trading (11 Nov 2016 to 18 Jan 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 8 Mar 2013)
    • CF21 Investment Adviser (6 Jun 2002 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF26 Customer Trading (1 Dec 2001 to 20 Jun 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Jun 2002)

Recent activity

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

No changes recorded yet.