Christopher Ray Smith

Last updated
1 week ago
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Where they hold approval

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

  • Walter & Partners Ltd

    FRN 657395

    • 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] Client dealing (since 30 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 30 Aug 2024)
    • Responsible for Insurance Distribution (since 17 Jul 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jul 2024)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (22 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Nov 2019 to 8 Dec 2019)
  • Fairstone Wealth Management Limited (no longer approved here)

    FRN 188596

    • CF30 Customer (25 Feb 2009 to 7 Nov 2009)

Recent activity

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

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