Richard Ringrose

Watch for changes

Where they hold approval

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

OTC Europe LLP
FRN 507219
- [FCA CF] Client dealing (since 11 Nov 2021)
BGC Brokers L.P (no longer approved here)
FRN 454814
- [FCA CF] Client dealing (9 Dec 2019 to 9 May 2021)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (31 Oct 2011 to 11 Feb 2013)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (1 Nov 2007 to 9 Dec 2009)
- CF21 Investment Adviser (8 Feb 2007 to 31 Oct 2007)
Australia and New Zealand Banking Group Ltd (no longer approved here)
FRN 114151
- CF21 Investment Adviser (6 Sep 2005 to 11 Dec 2006)
Citibank, N.A. (no longer approved here)
FRN 124704
- CF26 Customer Trading (7 Dec 2004 to 16 Mar 2005)

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.