Nicholas, Joseph, Christopher Smallwood

Watch for changes

Where they hold approval

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

M&G Investment Management Limited
FRN 119328
- [FCA CF] Material risk taker (since 30 Mar 2026)
- [FCA CF] Client dealing (since 10 Aug 2020)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF30 Customer (4 Jan 2016 to 6 Mar 2016)
Corebridge Institutional Investments (Europe) Limited (no longer approved here)
FRN 500338
- CF30 Customer (3 Jul 2013 to 18 Dec 2015)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- CF30 Customer (27 Nov 2007 to 11 Aug 2010)

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.