David Samuel Caplan

Watch for changes

Where they hold approval

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

Caxton Associates LLP
FRN 504390
- [FCA CF] Material risk taker (since 11 Jul 2025)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
- CF30 Customer (21 Jun 2018 to 8 Dec 2019)
BlackRock Advisors (UK) Limited (no longer approved here)
FRN 119186
- CF30 Customer (20 Sep 2017 to 20 Apr 2018)
BlackRock Investment Management (UK) Limited (no longer approved here)
FRN 119293
- CF30 Customer (20 Sep 2017 to 20 Apr 2018)
BlackRock International Limited (no longer approved here)
FRN 178638
- CF30 Customer (20 Sep 2017 to 20 Apr 2018)
BlackRock Institutional Trust Company, N.A. (no longer approved here)
FRN 409343
- CF30 Customer (20 Sep 2017 to 20 Apr 2018)

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.