David Seaman

Watch for changes

Where they hold approval

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

Lloyds Bank Corporate Markets Plc
FRN 763256
- [FCA CF] Client dealing (since 18 Jul 2023)
Bank of Montreal (no longer approved here)
FRN 124788
- [FCA CF] Client dealing (22 Mar 2017 to 13 Oct 2022)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF30 Customer (2 Nov 2009 to 6 Mar 2016)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF30 Customer (2 Nov 2009 to 6 Mar 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (1 Nov 2007 to 17 Aug 2009)
- CF21 Investment Adviser (28 Jul 2004 to 31 Oct 2007)
Commerzbank AG (no longer approved here)
FRN 124920
- CF21 Investment Adviser (27 Nov 2002 to 24 Mar 2003)

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.