Sean Richards

Last updated
3 weeks ago
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Where they hold approval

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

  • JEFFERIES INTERNATIONAL LIMITED

    FRN 139253

    • [FCA CF] Client dealing (since 16 Jul 2021)
    • [FCA CF] Manager of certification employee (since 16 Jul 2021)
    • [FCA CF] Significant management (since 16 Jul 2021)
    • [FCA CF] Material risk taker (16 Jul 2021 to 2 Oct 2023)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • [FCA CF] Manager of certification employee (15 Oct 2018 to 6 May 2021)
    • [FCA CF] Material risk taker (7 Mar 2016 to 4 Jul 2021)
    • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 4 Jul 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 6 May 2021)
    • [PRA CF] Managing a material risk taker (7 Mar 2016 to 4 Jul 2021)
    • CF30 Customer (10 Sep 2015 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (27 Nov 2007 to 12 Sep 2012)

Recent activity

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

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