David McBain

Last updated
2 weeks ago
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Where they hold approval

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

  • Absolute Strategy Research Limited (no longer approved here)

    FRN 452013

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 May 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 May 2022)
    • CF10 Compliance Oversight (16 Jul 2010 to 3 Apr 2018)
    • CF11 Money Laundering Reporting (16 Jul 2010 to 3 Apr 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (26 Jun 2007 to 31 Oct 2007)
  • DB UK Bank Limited (no longer approved here)

    FRN 140848

    • CF21 Investment Adviser (1 Dec 2001 to 9 Apr 2003)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2005)

Recent activity

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

No changes recorded yet.