David is Head of the Conduct Specialists Department in Supervision at the FCA. David is responsible for the extension of the senior managers and certification regimes to all FCA authorised firms. This is one of the FCA’s workstreams delivering on its priority of governance and culture at firms, for which David is the accountable executive. As well as having responsibility for SM&CR and the FCA’s culture and governance priority, David also oversees the FCA’s specialists on financial promotions and consumer contracts issues, as well as specialists in remuneration at firms and the FCA’s use of its powers under s166 FSMA (“skilled persons”).
David has been at the FCA/FSA since 2000 where his roles have included heading the investment banks department in Supervision Division and a variety of roles in the Markets and Enforcement divisions.
Prior to joining the FSA, David worked at the London Stock Exchange in its Listing Division.
David trained as a solicitor and worked at Lovells (now Hogan Lovells) from 1992-1998 where he specialised in commercial litigation involving banks and other financial services firms.