David Simon Williamson

Last updated
3 weeks ago
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Where they hold approval

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

  • Nova Capital Management Limited

    FRN 143456

    • [FCA CF] Client dealing (since 27 Aug 2021)
    • [FCA CF] Significant management (since 27 Aug 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (19 Apr 2007 to 31 Oct 2007)
    • CF1 Director (25 Sep 2002 to 8 Dec 2019)
    • CF3 Chief Executive (25 Sep 2002 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Sep 2002 to 31 Mar 2009)
    • CF21 Investment Adviser (25 Sep 2002 to 31 Oct 2007)
  • NCM Management (UK) Limited

    FRN 145276

    • [FCA CF] Significant management (since 20 Aug 2021)
    • [FCA CF] Client dealing (since 20 Aug 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (11 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jan 2016 to 8 Dec 2019)
    • CF3 Chief Executive (16 Mar 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Mar 2006 to 31 Mar 2009)
    • CF1 Director (18 Jan 2006 to 8 Dec 2019)
  • Robert W. Baird Limited (no longer approved here)

    FRN 124308

    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Dec 2001)
  • Baird Capital Partners Europe Limited (no longer approved here)

    FRN 150154

    • CF1 Director (1 Dec 2001 to 1 Dec 2001)

Recent activity

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

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