Andrew Smith

Watch for changes

Where they hold approval

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

Beauly Financial Services Limited (no longer approved here)
FRN 742833
- CF3 Chief Executive (27 Oct 2017 to 1 Jul 2018)
- CF1 Director (27 Jul 2016 to 27 Oct 2017)
SL Investment Management Limited (no longer approved here)
FRN 148002
- CF29 Significant management (19 Feb 2010 to 12 Jun 2013)
- CF28 Systems and controls (18 Dec 2009 to 19 Feb 2010)
- CF10 Compliance Oversight (11 Jun 2008 to 5 Feb 2010)
- CF11 Money Laundering Reporting (11 Jun 2008 to 5 Feb 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.