Ben David Walter

Watch for changes

Where they hold approval

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

Walter & Partners Ltd (no longer approved here)
FRN 657395
- SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2024)
- SMF3 Executive Director (9 Dec 2019 to 17 Jul 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Jul 2024)
- CF10 Compliance Oversight (18 Jun 2019 to 8 Dec 2019)
- Responsible for Insurance Distribution (1 Oct 2018 to 17 Jul 2024)
- CF1 Director (AR) (21 May 2015 to 30 Jun 2016)
- Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
- CF30 Customer (1 Apr 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Apr 2015 to 12 Feb 2018)
- CF1 Director (1 Apr 2015 to 8 Dec 2019)
Fairstone Wealth Management Limited (no longer approved here)
FRN 188596
- CF30 Customer (4 Feb 2009 to 29 Oct 2010)

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.