David Joseph Thompson

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Where they hold approval

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

Panmure Liberum Limited
FRN 403721
- [FCA CF] Client dealing (since 1 Jul 2024)
Panmure Liberum Capital Limited
FRN 465050
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (6 Sep 2010 to 8 Dec 2019)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF30 Customer (1 Nov 2007 to 22 Jan 2008)
- CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
Cantor Fitzgerald Europe (no longer approved here)
FRN 149380
- CF21 Investment Adviser (24 Apr 2003 to 25 Feb 2005)

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.