Graham Paul Smith

Watch for changes

Where they hold approval

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

Link Fund Solutions Limited (no longer approved here)
FRN 119197
- CF28 Systems and controls (26 Aug 2011 to 11 Oct 2013)
WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED (no longer approved here)
FRN 121795
- (24)CF28 Systems and controls (26 Aug 2011 to 11 Oct 2013)
Waystone Financial Investments Limited (no longer approved here)
FRN 169586
- CF28 Systems and controls (26 Aug 2011 to 11 Oct 2013)
Polo Managing Agency Limited (no longer approved here)
FRN 204976
- CF28 Systems and controls (26 Aug 2011 to 1 Mar 2012)

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

1 day ago
controlled function added: (24)CF28 Systems and controls at WAYSTONE TRANSFER AGENCY SOLUTIONS (UK) LIMITED

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.