David Nicholls

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Where they hold approval

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

OCORIAN DEPOSITARY (UK) LIMITED
FRN 606784
- SMF9 Chair of the Governing Body (since 1 Apr 2026)
- SMF3 Executive Director (since 10 May 2024)
KROLL SECURITIES LTD.
FRN 466588
- CF1 Director (AR) (since 5 Mar 2026)
HOOPP THAMES LIMITED
FRN 1006632
- (9)Employed By (since 5 Mar 2026)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- [FCA CF] Material risk taker (29 Jun 2016 to 14 Jul 2020)
- [FCA CF] Significant management (7 Mar 2016 to 14 Jul 2020)
- CF29 Significant management (6 Mar 2014 to 6 Mar 2016)

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.