Keith Smith Charlton

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Where they hold approval

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

FW Capital Limited
FRN 506719
- [FCA CF] Client dealing (since 9 Dec 2020)
- CF30 Customer (5 Jan 2015 to 8 Dec 2019)
NEL Fund Managers Limited (no longer approved here)
FRN 148550
- CF28 Systems and controls (1 Nov 2007 to 31 Oct 2012)
- CF1 Director (17 Apr 2007 to 31 Oct 2012)
- CF13 Finance (26 Mar 2002 to 31 Oct 2007)
- CF10 Compliance Oversight (26 Mar 2002 to 31 Oct 2012)
- CF11 Money Laundering Reporting (26 Mar 2002 to 31 Oct 2012)

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.