David Benjamin Marks

Watch for changes

Where they hold approval

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

Brockton Capital LLP
FRN 449187
- (4)Employed By (since 19 Mar 2018)
- (1)Employed By (16 Mar 2006 to 31 Jul 2006)
KROLL SECURITIES LTD.
FRN 466588
- CF30 Customer (since 19 Mar 2018)
- CF4 Partner (AR) (since 19 Mar 2018)
Jones Lang Lasalle Corporate Finance Limited (no longer approved here)
FRN 140854
- CF21 Investment Adviser (16 Mar 2006 to 31 Jul 2006)

Updates to this individual's record on the FCA register.

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.