Richard Nikolas Holttum

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Where they hold approval

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

Rokos Capital Management LLP
FRN 679721
- SMF16 Compliance Oversight (since 13 Apr 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Apr 2022)
- CF10 Compliance Oversight (11 Apr 2017 to 25 May 2018)
- CF11 Money Laundering Reporting (11 Apr 2017 to 25 May 2018)
Bank of Montreal (no longer approved here)
FRN 124788
- CF10 Compliance Oversight (13 Dec 2005 to 10 Sep 2007)
BMO Capital Markets Limited (no longer approved here)
FRN 170937
- CF10 Compliance Oversight (13 Dec 2005 to 10 Sep 2007)
DB UK Bank Limited (no longer approved here)
FRN 140848
- CF10 Compliance Oversight (7 Jan 2004 to 11 Aug 2004)

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.