David John MacNeil

Last updated
2 weeks ago
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Where they hold approval

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

  • Castlebay Investment Partners LLP

    FRN 624445

    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (28 Oct 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Oct 2014 to 8 Dec 2019)
    • CF30 Customer (28 Oct 2014 to 8 Dec 2019)
    • CF4 Partner (28 Oct 2014 to 8 Dec 2019)
  • Oakham Wealth Management Ltd (no longer approved here)

    FRN 431206

    • CF30 Customer (18 Oct 2013 to 29 Jan 2015)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF30 Customer (1 Nov 2007 to 12 Mar 2013)
    • CF27 Investment Management (21 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Apr 2005)

Recent activity

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

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