David O'Brien

Watch for changes

Where they hold approval

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

SHORE CAPITAL STOCKBROKERS LIMITED (no longer approved here)
FRN 124784
- CF30 Customer (4 Nov 2010 to 10 Feb 2015)
CLSA (UK) (no longer approved here)
FRN 140836
- CF21 Investment Adviser (6 Jan 2003 to 31 Jan 2004)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF21 Investment Adviser (1 Dec 2001 to 30 May 2002)

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.