Christopher Kenneth 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.

  • LANGHAM ASSOCIATES LTD

    FRN 587218

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (5 Dec 2012 to 8 Dec 2019)
    • CF1 Director (5 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (5 Dec 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (5 Dec 2012 to 30 Sep 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (7 Mar 2011 to 10 Dec 2012)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF7 Sole Trader (AR) (17 Jan 2003 to 16 Apr 2003)
    • CF21 Investment Adviser (1 Nov 2002 to 16 Apr 2003)
  • Canada Life Limited (no longer approved here)

    FRN 110394

    • CF21 Investment Adviser (2 Jan 2002 to 1 Nov 2002)

Recent activity

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

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