Richard William Thompson

Watch for changes

Where they hold approval

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

CBPE Capital LLP
FRN 229900
- SMF27 Partner (since 17 Mar 2022)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF16 Compliance Oversight (17 Mar 2022 to 28 Jun 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (17 Mar 2022 to 28 Jun 2022)
- CF30 Customer (20 Oct 2010 to 8 Dec 2019)
XPS SIPP Services Limited (no longer approved here)
FRN 461791
- CF2 Non Executive Director (21 Feb 2013 to 15 Feb 2017)

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.