David John Smith

Watch for changes

Where they hold approval

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

ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 155241
- CF30 Customer (1 Oct 2012 to 2 Mar 2014)
Coutts & Company (no longer approved here)
FRN 122287
- CF30 Customer (15 Apr 2010 to 16 Jul 2012)
HBOS Investment Fund Managers Limited (no longer approved here)
FRN 119223
- CF21 Investment Adviser (25 Feb 2003 to 27 Apr 2003)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 25 Feb 2003)

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.