David Neil King

Last updated
1 week ago
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Where they hold approval

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

  • Consulco Capital UK Ltd (no longer approved here)

    FRN 826918

    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Dec 2020 to 12 Mar 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 12 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Apr 2025)
    • SMF3 Executive Director (9 Dec 2019 to 12 Mar 2025)
    • CF10 Compliance Oversight (1 Aug 2019 to 8 Dec 2019)
    • CF1 Director (1 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
  • UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)

    FRN 114627

    • CF30 Customer (28 Nov 2007 to 23 Jan 2009)
  • AXA Investment Managers GS Limited (no longer approved here)

    FRN 188523

    • CF27 Investment Management (3 Nov 2006 to 14 Sep 2007)
  • Janus Henderson Investors UK Limited (no longer approved here)

    FRN 121857

    • CF27 Investment Management (15 Jun 2005 to 19 May 2006)
    • CF22 Investment Adviser (Trainee) (9 Sep 2004 to 19 May 2006)
  • Janus Henderson Fund Management UK Limited (no longer approved here)

    FRN 121859

    • CF27 Investment Management (15 Jun 2005 to 19 May 2006)

Recent activity

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

No changes recorded yet.