David John Hill

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Where they hold approval

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

David John Hill
FRN 714004
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- [FCA CF] Client dealing (since 6 Apr 2020)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (4 Jan 2016 to 8 Dec 2019)
- CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
Equity Financial Services (no longer approved here)
FRN 140318
- (2)Employed By (1 Oct 1998 to 8 Dec 2019)

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

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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.