Richard John Small

Watch for changes

Where they hold approval

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

Peregrine & Black Limited
FRN 628614
- [FCA CF] Client dealing (since 9 Dec 2024)
Earlyworld Capital Limited
FRN 740115
- [FCA CF] Client dealing (since 21 Aug 2023)
Armira Capital Limited (no longer approved here)
FRN 714282
- [FCA CF] Client dealing (1 Dec 2021 to 1 Feb 2022)
London and Oxford Capital Markets Limited (no longer approved here)
FRN 163299
- [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2021)
- CF30 Customer (18 Feb 2019 to 8 Dec 2019)
Xconnect Trading Limited (no longer approved here)
FRN 403317
- CF30 Customer (11 Sep 2013 to 6 Nov 2018)
Oppenheimer Europe Ltd. (no longer approved here)
FRN 483856
- CF30 Customer (15 Dec 2008 to 24 Apr 2013)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF30 Customer (1 Nov 2007 to 30 Jul 2008)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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.