David Oliver Kimberley

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • NS ASSET MANAGEMENT UK LTD

    FRN 170942

    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (8 Apr 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Apr 2008 to 8 Dec 2019)
    • CF30 Customer (8 Apr 2008 to 8 Dec 2019)
    • CF1 Director (8 Apr 2008 to 14 Jun 2019)
  • BB SECURITIES LIMITED (no longer approved here)

    FRN 170479

    • CF30 Customer (1 Nov 2007 to 7 Mar 2008)
    • CF28 Systems and controls (1 Nov 2007 to 7 Mar 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Mar 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 7 Mar 2008)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Banco do Brasil SA (no longer approved here)

    FRN 204612

    • CF11 Money Laundering Reporting (5 Jun 2007 to 7 Mar 2008)
    • CF10 Compliance Oversight (5 Jun 2007 to 7 Mar 2008)

Recent activity

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

No changes recorded yet.