David Neil O'Keeffe

Watch for changes

Where they hold approval

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

Raymond James Financial International Limited
FRN 188244
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (26 Oct 2012 to 8 Dec 2019)
FPP Asset Management LLP (no longer approved here)
FRN 489939
- CF30 Customer (18 Jan 2012 to 6 Jul 2012)
TOKIO MARINE ASSET MANAGEMENT (LONDON) LIMITED (no longer approved here)
FRN 487699
- CF30 Customer (24 Aug 2009 to 6 Jan 2012)

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.