Andrew David Shaw

Watch for changes

Where they hold approval

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

Phoenix Wealth Management Ltd.
FRN 190353
- CF1 Director (AR) (since 1 Apr 2025)
- SMF16 Compliance Oversight (since 6 Feb 2020)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Feb 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (7 Nov 2019 to 8 Dec 2019)
Phoenix Wealth Management LLP (no longer approved here)
FRN 217897
- (4)Employed By (20 Nov 2002 to 24 Dec 2010)

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.