David William Warren

Watch for changes

Where they hold approval

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

Bank of China Limited London Branch
FRN 170910
- [FCA CF] Material risk taker (since 30 Jun 2017)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF30 Customer (10 Nov 2015 to 3 Apr 2017)
National Australia Bank Limited (no longer approved here)
FRN 141309
- CF30 Customer (12 Jun 2013 to 16 Apr 2015)

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.