Richard Neil Sugarman

Watch for changes

Where they hold approval

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

GFI Securities Limited (no longer approved here)
FRN 184801
- [FCA CF] Client dealing (10 Sep 2024 to 31 Oct 2025)
- CF30 Customer (13 Oct 2015 to 8 Dec 2019)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF26 Customer Trading (12 Nov 2002 to 8 Oct 2003)

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.