David John Morton

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • Newgate Private Equity Limited

    FRN 142840

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10a CASS Oversight function (25 Feb 2019 to 8 Dec 2019)
    • CF1 Director (30 Jan 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (30 Jan 2018 to 8 Dec 2019)
  • Hollyport Capital LLP (no longer approved here)

    FRN 451295

    • CF30 Customer (1 Nov 2007 to 8 Jun 2009)
    • CF4 Partner (AR) (21 Nov 2006 to 30 Sep 2009)
    • CF21 Investment Adviser (1 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (1 Oct 2006 to 13 Nov 2008)
  • Kinmont Limited (no longer approved here)

    FRN 188821

    • CF1 Director (1 Dec 2001 to 15 Nov 2002)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Nov 2002)
    • CF10 Compliance Oversight (1 Dec 2001 to 15 Nov 2002)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 15 Nov 2002)

Recent activity

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

No changes recorded yet.