David John Cast

Last updated
1 week ago
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Where they hold approval

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

  • AlTi Wealth Management (UK) Limited

    FRN 541713

    • SMF3 Executive Director (since 1 Sep 2025)
    • SMF16 Compliance Oversight (since 1 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2025)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Significant management (15 Jan 2024 to 30 Jul 2024)
    • [FCA CF] Manager of certification employee (11 Jan 2019 to 8 Sep 2020)
    • [PRA CF] Managing a material risk taker (11 Jan 2019 to 14 Sep 2020)
    • [PRA CF] Significant risk taker or Material risk taker (20 Jan 2017 to 7 Feb 2019)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Significant management (15 Jan 2024 to 30 Jul 2024)
    • [FCA CF] Manager of certification employee (11 Jan 2019 to 8 Sep 2020)
    • [PRA CF] Managing a material risk taker (11 Jan 2019 to 14 Sep 2020)
    • [PRA CF] Significant risk taker or Material risk taker (1 Jul 2018 to 7 Feb 2019)
  • HSBC Alternative Investments Limited (no longer approved here)

    FRN 170423

    • [FCA CF] Manager of certification employee (15 Nov 2023 to 30 Jul 2024)
    • [PRA CF] Managing a material risk taker (14 Nov 2023 to 19 Jul 2024)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • [PRA CF] Managing a material risk taker (11 Dec 2019 to 8 Sep 2020)
    • [FCA CF] Manager of certification employee (11 Dec 2019 to 8 Sep 2020)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF10 Compliance Oversight (11 Oct 2005 to 27 Jun 2008)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF10 Compliance Oversight (11 Oct 2005 to 27 Jun 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 17 Oct 2003)

Recent activity

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

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