Scott Leslie Wallace

Watch for changes

Where they hold approval

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

Aberforth Unit Trust Managers Ltd
FRN 146788
- SMF3 Executive Director (since 1 May 2020)
- SMF9 Chair of the Governing Body (since 1 May 2020)
Aberforth Partners LLP
FRN 435657
- SMF27 Partner (since 1 May 2020)
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119289
- CF28 Systems and controls (16 Feb 2017 to 31 Oct 2019)
- CF1 Director (18 Aug 2014 to 31 Oct 2019)
- CF10 Compliance Oversight (18 Aug 2014 to 1 Feb 2017)

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.