David Lyon Liddell

• IpsoFacto Investor.Com Limited

  FRN 575247

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF30 Customer (7 Nov 2012 to 8 Dec 2019)
  • CF1 Director (7 Nov 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Nov 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Nov 2012 to 8 Dec 2019)
• Panmure Liberum Limited (no longer approved here)

  FRN 403721

  • CF28 Systems and controls (1 Nov 2007 to 31 Mar 2010)
  • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
  • CF21 Investment Adviser (26 May 2005 to 31 Oct 2007)
  • CF1 Director (6 May 2005 to 31 Mar 2010)
  • CF26 Customer Trading (6 May 2005 to 24 May 2005)
  • CF13 Finance (6 May 2005 to 31 Oct 2007)
• Vanneck Limited (no longer approved here)

  FRN 437348

  • CF28 Systems and controls (1 Nov 2007 to 4 Dec 2007)
  • CF30 Customer (1 Nov 2007 to 4 Dec 2007)
  • CF27 Investment Management (1 Feb 2006 to 31 Oct 2007)
  • CF13 Finance (1 Feb 2006 to 31 Oct 2007)
• NINETY ONE UK LIMITED (no longer approved here)

  FRN 122420

  • CF21 Investment Adviser (10 Apr 2003 to 31 Dec 2003)
  • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
  • CF1 Director (1 Dec 2001 to 26 Nov 2002)
• Ninety One Fund Managers UK Limited (no longer approved here)

  FRN 145007

  • CF27 Investment Management (1 Dec 2001 to 31 Dec 2003)

No changes recorded yet.