David Steven Williams

Watch for changes

Where they hold approval

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

SCOTTISH WIDOWS LIMITED (no longer approved here)
FRN 181655
- CF30 Customer (7 Jan 2016 to 9 Dec 2018)
Scottish Widows Unit Trust Managers Limited (no longer approved here)
FRN 122129
- CF30 Customer (4 May 2010 to 1 Jan 2013)
- CF21 Investment Adviser (19 Dec 2002 to 10 Sep 2004)
- CF22 Investment Adviser (Trainee) (13 Feb 2002 to 19 Dec 2002)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (1 Nov 2007 to 3 May 2010)
- CF21 Investment Adviser (1 Jul 2007 to 31 Oct 2007)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF21 Investment Adviser (1 Dec 2001 to 11 Jan 2002)

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.