Richard Nelson

Watch for changes

Where they hold approval

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

Commerzbank AG
FRN 124920
- [FCA CF] Client dealing (since 7 Mar 2016)
- CF30 Customer (3 May 2011 to 6 Mar 2016)
Eiger Securities LLP (no longer approved here)
FRN 228827
- CF30 Customer (10 Mar 2009 to 20 Oct 2009)
Global Credit Securities LLP (no longer approved here)
FRN 440047
- (8)Employed By (10 Mar 2009 to 20 Oct 2009)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (20 Oct 2008 to 31 Jan 2009)

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.