David Lloyd

Watch for changes

Where they hold approval

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

M&G Alternatives Investment Management Limited (no longer approved here)
FRN 122011
- [FCA CF] Material risk taker (2 Feb 2023 to 31 Dec 2023)
- CF30 Customer (4 Mar 2014 to 8 Dec 2019)
M & G Securities Limited (no longer approved here)
FRN 122057
- [FCA CF] Material risk taker (2 Feb 2023 to 31 Dec 2023)
M&G Investment Management Limited (no longer approved here)
FRN 119328
- [FCA CF] Manager of certification employee (7 Jul 2020 to 31 Dec 2023)
- [FCA CF] Material risk taker (7 Jul 2020 to 31 Dec 2023)
- [FCA CF] Client dealing (7 Jul 2020 to 31 Dec 2023)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (13 Mar 2007 to 31 Oct 2007)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF27 Investment Management (24 Nov 2003 to 29 Sep 2006)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF27 Investment Management (1 Dec 2001 to 30 Sep 2003)

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.