David 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.

  • ADMS Asset Management Limited (no longer approved here)

    FRN 569871

    • Responsibility for MCD Intermediation (20 Dec 2024 to 3 Sep 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Nov 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Nov 2025)
    • SMF3 Executive Director (9 Dec 2019 to 3 Sep 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Oct 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Oct 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Sep 2025)
    • CF11 Money Laundering Reporting (2 Jul 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jul 2012 to 30 Sep 2018)
    • CF30 Customer (2 Jul 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jul 2012 to 8 Dec 2019)
    • CF1 Director (2 Jul 2012 to 8 Dec 2019)
  • TB Financial Services Ltd (no longer approved here)

    FRN 488124

    • Employed By (12 Sep 2008 to 29 Jun 2012)
  • Cambridge Financial Associates (no longer approved here)

    FRN 200169

    • Employed By (9 Dec 1999 to 8 Dec 2019)

Recent activity

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

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