David Phillips

Last updated
1 week ago
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Where they hold approval

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

  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [PRA CF] Significant risk taker or Material risk taker (21 Jan 2019 to 31 Jul 2021)
    • [FCA CF] Manager of certification employee (21 Jan 2019 to 4 Feb 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Manager of certification employee (9 Mar 2018 to 31 Jul 2021)
    • [PRA CF] Significant risk taker or Material risk taker (9 Mar 2018 to 31 Jul 2021)
    • [FCA CF] Client dealing (9 Mar 2018 to 31 Jul 2021)
    • CF30 Customer (1 Nov 2007 to 17 Jun 2014)
    • CF21 Investment Adviser (14 Jul 2005 to 31 Oct 2007)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF21 Investment Adviser (20 Feb 2003 to 21 Apr 2005)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2003)

Recent activity

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

No changes recorded yet.