David Nguyen

Watch for changes

Where they hold approval

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

Rathbones Investment Management Limited (no longer approved here)
FRN 116316
- [FCA CF] Client dealing (16 Oct 2024 to 31 Mar 2026)
- [FCA CF] Functions requiring qualifications (16 Oct 2024 to 31 Mar 2026)
Scottish Widows Schroder Personal Wealth Limited (no longer approved here)
FRN 830170
- CF30 Customer (12 Jun 2019 to 1 Sep 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (28 May 2014 to 6 Mar 2016)
CAVENDISH MEDICAL LIMITED (no longer approved here)
FRN 436797
- CF30 Customer (7 Dec 2011 to 1 Jul 2013)
Radcliffe and Newlands Ltd (no longer approved here)
FRN 457283
- Employed By (26 Jul 2010 to 30 Dec 2011)
Honister Partners Ltd (no longer approved here)
FRN 502699
- Employed By (3 Mar 2010 to 1 Sep 2019)

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.