David Seex

Watch for changes

Where they hold approval

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

Schroder Unit Trusts Limited (no longer approved here)
FRN 197288
- [FCA CF] Manager of certification employee (3 Oct 2023 to 4 Mar 2024)
- [FCA CF] Material risk taker (26 Sep 2022 to 7 Aug 2023)
Schroder Real Estate Investment Management Limited (no longer approved here)
FRN 190064
- [FCA CF] Material risk taker (26 Sep 2022 to 7 Aug 2023)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- [FCA CF] Client dealing (5 Apr 2022 to 31 Jan 2025)
- [FCA CF] Manager of certification employee (5 Apr 2022 to 31 Jan 2025)

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.