Andrew David Smallman

Watch for changes

Where they hold approval

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

Nationwide Building Society (no longer approved here)
FRN 106078
- [FCA CF] Material risk taker (25 Jan 2019 to 1 Jan 2024)
- [FCA CF] Significant management (25 Jan 2019 to 1 Jan 2024)
- [PRA CF] Significant risk taker or Material risk taker (25 Jan 2019 to 1 Jan 2024)
E-Mex Home Funding Limited (no longer approved here)
FRN 305370
- CF28 Systems and controls (1 Nov 2007 to 15 Dec 2008)
- CF15 Internal Audit (4 Apr 2007 to 31 Oct 2007)

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.