Daniel John Smith

Watch for changes

Where they hold approval

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

Cavendish Securities PLC
FRN 416932
- [FCA CF] Client dealing (since 26 Sep 2023)
- [FCA CF] Proprietary trader (since 26 Sep 2023)
Cavendish Capital Markets Limited
FRN 467766
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (7 Aug 2009 to 8 Dec 2019)
Numis Securities Limited (no longer approved here)
FRN 144822
- CF26 Customer Trading (3 May 2002 to 25 Feb 2005)
Baring Fund Managers Limited (no longer approved here)
FRN 119187
- CF27 Investment Management (1 Dec 2001 to 7 Jan 2002)
Baring International Investment Limited (no longer approved here)
FRN 122628
- CF27 Investment Management (1 Dec 2001 to 7 Jan 2002)
- CF26 Customer Trading (1 Dec 2001 to 7 Jan 2002)
Baring Asset Management Limited (no longer approved here)
FRN 170601
- CF27 Investment Management (1 Dec 2001 to 7 Jan 2002)

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.