David John Hall

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.

  • Barker Poland Asset Management LLP (no longer approved here)

    FRN 499311

    • CF11 Money Laundering Reporting (31 Mar 2015 to 9 Jun 2016)
    • CF10 Compliance Oversight (31 Mar 2015 to 9 Jun 2016)
  • Keith Bayley Rogers & Co Limited (no longer approved here)

    FRN 197385

    • CF10a CASS Oversight function (20 Feb 2013 to 30 Jan 2014)
    • CF10 Compliance Oversight (28 Jul 2006 to 29 Jan 2015)
    • CF11 Money Laundering Reporting (28 Jul 2006 to 30 Apr 2008)
  • Walker Crips Investment Management Limited (no longer approved here)

    FRN 226344

    • CF10a CASS Oversight function (3 Jan 2013 to 31 Oct 2014)
    • CF10 Compliance Oversight (28 Jul 2006 to 9 May 2016)
    • CF11 Money Laundering Reporting (28 Jul 2006 to 30 Apr 2008)
  • Ebor Trustees Limited (no longer approved here)

    FRN 462002

    • CF11 Money Laundering Reporting (6 Apr 2007 to 9 May 2016)
    • CF10 Compliance Oversight (6 Apr 2007 to 9 May 2016)
  • Walker Crips Financial Planning Limited (no longer approved here)

    FRN 114778

    • CF11 Money Laundering Reporting (30 Jun 2004 to 9 May 2016)
    • CF10 Compliance Oversight (30 Jun 2004 to 9 May 2016)
  • Lowes Investment Management Limited (no longer approved here)

    FRN 192938

    • CF11 Money Laundering Reporting (13 Mar 2002 to 2 Apr 2004)
    • CF21 Investment Adviser (13 Mar 2002 to 2 Apr 2004)
    • CF10 Compliance Oversight (13 Mar 2002 to 2 Apr 2004)
  • Lowes Financial Management Limited (no longer approved here)

    FRN 114650

    • CF10 Compliance Oversight (7 Mar 2002 to 2 Apr 2004)
    • CF21 Investment Adviser (7 Mar 2002 to 2 Apr 2004)
    • CF11 Money Laundering Reporting (7 Mar 2002 to 2 Apr 2004)
  • Destiny - Total Financial Planning (no longer approved here)

    FRN 189732

    • Employed By (29 Jun 2001 to 14 Feb 2002)

Recent activity

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

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