Nicholas Caiger-Smith

Last updated
2 weeks ago
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Where they hold approval

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

  • Envestors Limited (no longer approved here)

    FRN 523952

    • CF30 Customer (1 Oct 2010 to 24 Nov 2011)
  • FSE Fund Managers Limited (no longer approved here)

    FRN 458820

    • CF11 Money Laundering Reporting (20 Aug 2008 to 30 Apr 2009)
    • CF10 Compliance Oversight (20 Aug 2008 to 30 Apr 2009)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
    • CF27 Investment Management (14 May 2007 to 31 Oct 2007)
  • AXM Venture Capital Ltd (no longer approved here)

    FRN 424893

    • CF21 Investment Adviser (28 Mar 2006 to 1 Mar 2007)
    • CF10 Compliance Oversight (28 Mar 2006 to 1 Mar 2007)
    • CF27 Investment Management (28 Mar 2006 to 1 Mar 2007)

Recent activity

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

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