Daniel Sean Carter

Watch for changes

Where they hold approval

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

Aviva Investors Global Services Limited (no longer approved here)
FRN 119178
- [FCA CF] Functions requiring qualifications (29 Jan 2024 to 2 Sep 2024)
- [FCA CF] CASS oversight function (9 Dec 2019 to 18 Jun 2021)
Aviva Investors UK Fund Services Limited (no longer approved here)
FRN 119310
- [FCA CF] Functions requiring qualifications (29 Jan 2024 to 2 Sep 2024)
- [FCA CF] CASS oversight function (9 Dec 2019 to 18 Jun 2021)
UBS Asset Management Funds Ltd (no longer approved here)
FRN 141661
- CF10a CASS Oversight function (21 Jul 2014 to 3 Nov 2015)
- CF1 Director (15 Apr 2009 to 3 Nov 2015)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- CF10a CASS Oversight function (13 Jun 2012 to 3 Nov 2015)

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.