Adrian Philip Smart

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IRN: APS01094
Last updated: 2 weeks ago

Watch for changes

Where they hold approval

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

Threadneedle Pensions Limited (no longer approved here)
FRN 110337
- CF10 Compliance Oversight (21 Jun 2012 to 5 Feb 2016)
- CF11 Money Laundering Reporting (21 Jun 2012 to 5 Feb 2016)
Threadneedle Portfolio Services Limited (no longer approved here)
FRN 119174
- CF10 Compliance Oversight (21 Jun 2012 to 5 Feb 2016)
- CF11 Money Laundering Reporting (21 Jun 2012 to 5 Feb 2016)
Threadneedle Asset Management Limited (no longer approved here)
FRN 122194
- CF10 Compliance Oversight (21 Jun 2012 to 5 Feb 2016)
- CF11 Money Laundering Reporting (21 Jun 2012 to 5 Feb 2016)
Threadneedle International Limited (no longer approved here)
FRN 143014
- CF10 Compliance Oversight (21 Jun 2012 to 5 Feb 2016)
- CF11 Money Laundering Reporting (21 Jun 2012 to 5 Feb 2016)
Threadneedle Investment Services Limited (no longer approved here)
FRN 190437
- CF10 Compliance Oversight (21 Jun 2012 to 5 Feb 2016)
- CF11 Money Laundering Reporting (21 Jun 2012 to 5 Feb 2016)
LGIM Real Assets (Operator) Limited (no longer approved here)
FRN 447041
- CF10 Compliance Oversight (16 Jun 2006 to 30 Nov 2011)
- CF11 Money Laundering Reporting (16 Jun 2006 to 30 Nov 2011)
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119272
- CF11 Money Laundering Reporting (9 Aug 2004 to 30 Nov 2011)
- CF10 Compliance Oversight (28 Nov 2003 to 30 Nov 2011)
Legal and General Assurance (Pensions Management) Limited (no longer approved here)
FRN 202202
- CF11 Money Laundering Reporting (9 Aug 2004 to 30 Nov 2011)
- CF10 Compliance Oversight (28 Nov 2003 to 30 Nov 2011)
BNY Mellon Investment Management EMEA Limited (no longer approved here)
FRN 119196
- CF14 Risk Assessment (28 Apr 2003 to 5 Nov 2003)
- CF10 Compliance Oversight (1 Dec 2001 to 13 Oct 2003)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- CF14 Risk Assessment (28 Apr 2003 to 5 Nov 2003)
- CF10 Compliance Oversight (1 Dec 2001 to 13 Oct 2003)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.

What it all means

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.