Alex Lennon-Smith

Watch for changes

Where they hold approval

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

TCW Europe Limited
FRN 613681
- SMF1 Chief Executive (since 9 Feb 2024)
- SMF3 Executive Director (since 9 Feb 2024)
- [FCA CF] Client dealing (since 15 Aug 2022)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2022)
- CF30 Customer (8 Sep 2014 to 8 Dec 2019)
Hartmann Capital Limited (no longer approved here)
FRN 192815
- CF30 Customer (19 Jan 2012 to 17 Aug 2012)

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.