David Walker

Last updated
1 month ago
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Where they hold approval

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

  • Capital Managers LLP

    FRN 435939

    • (9)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (11)SMF17 Money Laundering Reporting Officer (MLRO) (since 2 May 2025)
    • (10)SMF27 Partner (since 9 Dec 2019)
    • (12)[FCA CF] Client dealing (since 9 Dec 2019)
    • (13)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (46)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Aug 2020)
    • (48)CF11 Money Laundering Reporting (7 Dec 2015 to 8 Dec 2019)
    • (49)CF4 Partner (18 Jun 2014 to 8 Dec 2019)
    • (47)CF30 Customer (3 Feb 2014 to 8 Dec 2019)

Recent activity

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

  1. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Capital Managers LLP

  2. controlled function removed: SMF27 Partner at Capital Managers LLP

  3. controlled function removed: [FCA CF] Functions requiring qualifications at Capital Managers LLP

  4. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at Capital Managers LLP

  5. controlled function removed: [FCA CF] Client dealing at Capital Managers LLP

  6. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at Capital Managers LLP

  7. controlled function added: (46)SMF17 Money Laundering Reporting Officer (MLRO) at Capital Managers LLP

  8. controlled function added: (47)CF30 Customer at Capital Managers LLP

  9. controlled function added: (48)CF11 Money Laundering Reporting at Capital Managers LLP

  10. controlled function added: (49)CF4 Partner at Capital Managers LLP

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