David Wharton

Watch for changes

Where they hold approval

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

Eschler Asset Management LLP
FRN 510079
- CF1 Director (AR) (since 20 Nov 2024)
- CF30 Customer (since 20 Nov 2024)
Thornvale Capital Ltd
FRN 1020501
- Employed By (since 20 Nov 2024)
Investec Bank PLC (no longer approved here)
FRN 172330
- [FCA CF] Manager of certification employee (2 Aug 2023 to 4 Jun 2024)
- [FCA CF] Client dealing (23 Jun 2019 to 4 Jun 2024)

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.