Alexander Piers Smith

Watch for changes

Where they hold approval

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

SHORE CAPITAL STOCKBROKERS LIMITED (no longer approved here)
FRN 124784
- CF30 Customer (8 Feb 2019 to 8 Dec 2019)
Investec Bank PLC (no longer approved here)
FRN 172330
- CF30 Customer (17 Jul 2014 to 6 Mar 2016)
Haitong International (UK) Limited (no longer approved here)
FRN 196482
- CF30 Customer (15 May 2012 to 30 Apr 2014)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (20 Oct 2008 to 30 Nov 2011)

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.