David Stephen Pickles

Watch for changes

Where they hold approval

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

Square Mile Investment Services Limited (no longer approved here)
FRN 625562
- SMF16 Compliance Oversight (5 May 2022 to 19 Dec 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Sep 2021)
- SMF3 Executive Director (9 Dec 2019 to 9 Nov 2021)
- CF30 Customer (13 Nov 2014 to 30 Jun 2015)
- CF11 Money Laundering Reporting (13 Nov 2014 to 8 Dec 2019)
- CF1 Director (13 Nov 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (13 Nov 2014 to 8 Dec 2019)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF1 Director (13 Jun 2002 to 24 Nov 2004)
Janus Henderson Fund Management UK Limited (no longer approved here)
FRN 121859
- CF1 Director (13 Jun 2002 to 24 Nov 2004)

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.