David Thoma

Watch for changes

Where they hold approval

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

UBS Asset Management Funds Ltd (no longer approved here)
FRN 141661
- [FCA CF] Client dealing (1 Mar 2021 to 30 Nov 2021)
UBS Asset Management (UK) Ltd (no longer approved here)
FRN 119319
- [FCA CF] Client dealing (5 Mar 2020 to 16 Feb 2025)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- CF30 Customer (3 Feb 2017 to 5 Nov 2019)
DWS Alternatives Global Limited (no longer approved here)
FRN 458997
- CF30 Customer (18 Mar 2016 to 5 Nov 2019)

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.