Richard Klein

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.

  • KW Investment Management Limited (no longer approved here)

    FRN 506600

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Aug 2023)
    • CF1 Director (4 Jun 2019 to 3 Dec 2019)
    • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
  • Evercore ISI International Limited (no longer approved here)

    FRN 575376

    • CF30 Customer (16 Oct 2012 to 30 May 2014)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (23 Dec 2008 to 28 Mar 2012)

Recent activity

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

No changes recorded yet.