Daphne Karen Ashford-Smith

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Where they hold approval

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

Peter Harding Practice Ltd
FRN 402110
- (10)Employed By (since 19 Jun 2024)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 5 Jun 2019)
Daphne Ashford-Smith (no longer approved here)
FRN 842828
- Employed By (5 Jun 2019 to 25 Jul 2024)
BA (GI) Limited (no longer approved here)
FRN 117647
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Aug 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.