David John Luck

Watch for changes

Where they hold approval

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

Sustainability & Finance Ltd
FRN 1015119
- SMF16 Compliance Oversight (since 15 Jan 2025)
- SMF3 Executive Director (since 15 Jan 2025)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jan 2025)
Numis Securities Limited (no longer approved here)
FRN 144822
- [FCA CF] Client dealing (9 Dec 2019 to 15 Nov 2022)
- CF30 Customer (23 Oct 2012 to 8 Dec 2019)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (14 Feb 2012 to 21 Sep 2012)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (12 Aug 2011 to 3 Feb 2012)

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.