David Andrew Fitzharris

Watch for changes

Where they hold approval

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

Hermes Investment Management Ltd
FRN 150000
- SMF16 Compliance Oversight (since 28 Dec 2022)
- [FCA CF] Material risk taker (1 Mar 2020 to 28 Dec 2022)
Hermes GPE LLP
FRN 511314
- SMF16 Compliance Oversight (since 28 Dec 2022)
- [FCA CF] Material risk taker (1 Apr 2020 to 28 Dec 2022)
BlackRock Life Limited (no longer approved here)
FRN 202909
- CF10 Compliance Oversight (29 May 2015 to 2 Sep 2016)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- CF1 Director (11 Feb 2005 to 30 Apr 2006)
- CF10 Compliance Oversight (6 Sep 2004 to 30 Apr 2006)
UBS Asset Management Funds Ltd (no longer approved here)
FRN 141661
- CF10 Compliance Oversight (6 Sep 2004 to 30 Apr 2006)
UBS Asset Management Life Ltd (no longer approved here)
FRN 186527
- CF10 Compliance Oversight (6 Sep 2004 to 30 Apr 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.