David Brock

Watch for changes

Where they hold approval

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

Houlihan Lokey UK Limited
FRN 792919
- [FCA CF] Client dealing (since 1 Apr 2024)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (28 May 2013 to 23 Mar 2018)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (1 Nov 2007 to 31 Oct 2012)
- CF21 Investment Adviser (16 Nov 2006 to 31 Oct 2007)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (30 Nov 2002 to 13 Apr 2004)

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.