Richard Peter Thompson

Last updated
1 week ago
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Where they hold approval

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

  • Northern Trust Investor Services Limited (no longer approved here)

    FRN 927658

    • [FCA CF] Significant management (1 Apr 2022 to 24 Oct 2023)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • [FCA CF] Algorithmic trading (10 Aug 2021 to 1 Mar 2024)
    • [FCA CF] Manager of certification employee (10 Aug 2021 to 1 Mar 2024)
    • [PRA CF] Significant risk taker or Material risk taker (17 Apr 2018 to 2 Jul 2021)
    • [FCA CF] Significant management (7 Mar 2017 to 1 Mar 2024)
    • CF29 Significant management (2 Jun 2015 to 6 Mar 2016)
  • Northern Trust Global Services SE (no longer approved here)

    FRN 829966

    • [FCA CF] Manager of certification employee (2 Jul 2019 to 1 Jun 2021)
    • [FCA CF] Significant management (1 Mar 2019 to 1 Jun 2021)
    • [FCA CF] Material risk taker (1 Mar 2019 to 1 Jun 2021)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF30 Customer (12 Dec 2007 to 31 Jul 2010)

Recent activity

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

No changes recorded yet.