David Antony William Carter

Watch for changes

Where they hold approval

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

GRIFFIN BENEDICT LIMITED (no longer approved here)
FRN 436189
- CF30 Customer (22 Jan 2013 to 30 Sep 2017)
Protocol Capital Management Limited (no longer approved here)
FRN 400263
- CF30 Customer (1 May 2009 to 20 Dec 2009)
4 Most Limited (no longer approved here)
FRN 226751
- Employed By (28 Oct 2003 to 7 Jun 2004)
David Moore Independent Financial Services (1888) (no longer approved here)
FRN 172760
- Employed By (23 Nov 2000 to 20 Nov 2003)

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.