Benjamin Alexander Smith

Watch for changes

Where they hold approval

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

Cusana Capital LLP
FRN 986596
- [FCA CF] Client dealing (since 18 Apr 2024)
CAPRICORN FUND MANAGERS LIMITED (no longer approved here)
FRN 505252
- [FCA CF] Client dealing (22 Jun 2023 to 19 Apr 2024)
Newton Investment Management Limited (no longer approved here)
FRN 119331
- [FCA CF] Client dealing (9 Dec 2019 to 12 Aug 2021)
- CF30 Customer (20 Nov 2019 to 8 Dec 2019)

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.