David Arthur Ashley

Watch for changes

Where they hold approval

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

Altorfer Financial Management Limited (no longer approved here)
FRN 147392
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 May 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 6 May 2021)
- CF30 Customer (1 Dec 2013 to 8 Dec 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (30 Dec 2010 to 30 Sep 2012)
Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF30 Customer (14 Aug 2008 to 30 Jun 2009)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF21 Investment Adviser (22 Dec 2004 to 7 Jan 2007)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF21 Investment Adviser (22 Dec 2004 to 7 Jan 2007)

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.