David Richardson Nicol

Watch for changes

Where they hold approval

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

Multrees Investor Services Limited
FRN 526528
- SMF9 Chair of the Governing Body (since 16 Jun 2021)
Hermes Investment Management Ltd (no longer approved here)
FRN 150000
- CF30 Customer (12 Jul 2013 to 5 Mar 2015)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF1 Director (5 Jul 2004 to 17 Jun 2010)
- CF20 Significant Mgt (Settlements) (1 Dec 2001 to 8 Sep 2005)

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.