Francesca Smith

Last updated
6 days ago
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Where they hold approval

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

  • Brompton Asset Management Limited

    FRN 942254

    • [FCA CF] Significant management (since 1 Dec 2021)
  • Janus Henderson Fund Management UK Limited

    FRN 121859

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (28 Mar 2019 to 8 Dec 2019)
  • Nuveen Management AIFM Limited (no longer approved here)

    FRN 194149

    • CF1 Director (30 Jan 2004 to 2 Apr 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jun 2006)
    • CF14 Risk Assessment (1 Dec 2001 to 1 Jun 2006)
  • NS PARTNERS LTD (no longer approved here)

    FRN 141667

    • CF14 Risk Assessment (1 Dec 2001 to 1 Jun 2006)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jun 2006)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2006)
  • Nuveen Investment Management International Limited (no longer approved here)

    FRN 141668

    • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2006)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jun 2006)
    • CF14 Risk Assessment (1 Dec 2001 to 1 Jun 2006)

Recent activity

Updates to this individual's record on the FCA register.

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