David Williams

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Where they hold approval

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

Northern Trust Investor Services Limited
FRN 927658
- SMF1 Chief Executive (since 19 May 2021)
- SMF3 Executive Director (since 19 May 2021)
Northern Trust Global Services SE (no longer approved here)
FRN 829966
- [FCA CF] Material risk taker (1 Mar 2019 to 24 Sep 2019)
- [FCA CF] Significant management (1 Mar 2019 to 24 Sep 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.