Ian 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.

  • Home Matters Services Ltd

    FRN 402226

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 May 2024)
    • SMF16 Compliance Oversight (since 13 May 2024)
    • Responsible for Insurance Distribution (since 13 May 2024)
    • Responsibility for MCD Intermediation (since 13 May 2024)
    • SMF3 Executive Director (since 13 May 2024)
    • [FCA CF] Client dealing (since 21 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 15 Nov 2021)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 25 Sep 2021)
    • CF30 Customer (21 Jun 2010 to 6 Mar 2016)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (11 Mar 2002 to 7 May 2004)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (11 Nov 2002 to 7 May 2004)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (7 May 2004 to 8 Sep 2004)
    • CF22 Investment Adviser (Trainee) (11 Mar 2002 to 7 May 2004)

Recent activity

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

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