CHANDOS FLEMING - SMITH

Watch for changes

Where they hold approval

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

Westpac Banking Corporation
FRN 124586
- [FCA CF] Client dealing (since 7 Mar 2016)
- CF30 Customer (23 Nov 2010 to 6 Mar 2016)
MUFG Securities EMEA plc (no longer approved here)
FRN 124512
- CF30 Customer (15 Oct 2008 to 19 Oct 2010)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF21 Investment Adviser (5 Jul 2002 to 1 Feb 2006)

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.