David John Briggs

Watch for changes

Where they hold approval

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

AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- [FCA CF] Client dealing (7 Jan 2025 to 30 Mar 2026)
- [FCA CF] Functions requiring qualifications (7 Jan 2025 to 30 Mar 2026)
- [FCA CF] Manager of certification employee (7 Jan 2025 to 30 Mar 2026)
Scottish Widows Schroder Personal Wealth Limited (no longer approved here)
FRN 830170
- [FCA CF] Manager of certification employee (18 Nov 2020 to 7 Apr 2021)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Dec 2001)

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.