Shirley Tran

Watch for changes

Where they hold approval

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

Glennmont Asset Management Limited
FRN 665071
- SMF3 Executive Director (since 4 Nov 2022)
Nuveen Investment Management International Limited
FRN 141668
- SMF3 Executive Director (since 19 Jul 2022)
- [FCA CF] Significant management (17 Aug 2020 to 10 Mar 2023)
Nuveen Management AIFM Limited
FRN 194149
- [FCA CF] Significant management (since 17 Aug 2020)

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.