Graham Richard Smith

Watch for changes

Where they hold approval

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

Sequence Advisers LLP
FRN 768168
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF4 Partner (1 Mar 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (1 Mar 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Mar 2017 to 8 Dec 2019)
- CF30 Customer (1 Mar 2017 to 8 Dec 2019)
IBIS CAPITAL LIMITED (no longer approved here)
FRN 228880
- CF30 Customer (25 Jan 2010 to 4 Jul 2012)
Arma Partners LLP (no longer approved here)
FRN 454270
- CF30 Customer (5 Mar 2009 to 7 Dec 2009)

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.