Stuart Edward Richards

Watch for changes

Where they hold approval

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

Third Platform Services Limited (no longer approved here)
FRN 717915
- SMF3 Executive Director (18 Feb 2022 to 21 May 2025)
Courtiers Investment Services Limited (no longer approved here)
FRN 124995
- [FCA CF] Material risk taker (9 Dec 2019 to 10 Sep 2021)
Courtiers Asset Management Limited (no longer approved here)
FRN 616322
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Sep 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 13 Sep 2021)
- CF11 Money Laundering Reporting (17 Jun 2019 to 8 Dec 2019)
- CF10 Compliance Oversight (17 Jun 2019 to 8 Dec 2019)
Baring International Investment Limited (no longer approved here)
FRN 122628
- CF27 Investment Management (1 Dec 2001 to 20 Oct 2006)
Baring Asset Management Limited (no longer approved here)
FRN 170601
- CF27 Investment Management (1 Dec 2001 to 20 Oct 2006)

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.