David Leonard Brockman

Watch for changes

Where they hold approval

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

Avior Capital Markets International Limited (no longer approved here)
FRN 191074
- CF30 Customer (27 Aug 2013 to 30 Jun 2014)
Sova Capital Limited (no longer approved here)
FRN 225539
- CF30 Customer (15 Oct 2009 to 16 Nov 2011)
Commerzbank AG (no longer approved here)
FRN 124920
- CF21 Investment Adviser (28 Mar 2002 to 20 Jun 2002)
- CF26 Customer Trading (1 Mar 2002 to 28 Mar 2002)

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.