Ian David Benbow Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • DAVID SMITH FINANCIAL SERVICES LIMITED LIABILITY PARTNERSHIP (no longer approved here)

    FRN 221278

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Feb 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Feb 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 27 Feb 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 26 Feb 2023)
    • SMF27 Partner (9 Dec 2019 to 26 Feb 2023)
    • Responsibility for MCD Intermediation (10 Dec 2018 to 26 Feb 2023)
    • CF11 Money Laundering Reporting (10 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Dec 2018 to 8 Dec 2019)
    • Responsible for Insurance Distribution (10 Dec 2018 to 26 Feb 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (27 Mar 2003 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (27 Mar 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (27 Mar 2003 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.