David William Moore

Watch for changes

Where they hold approval

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

Advent Capital Management UK Limited
FRN 447452
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (2 Jul 2018 to 8 Dec 2019)
- CF30 Customer (15 Oct 2009 to 9 Aug 2012)
JEFFERIES ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 218270
- CF26 Customer Trading (27 Oct 2003 to 25 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.