Katie Jane 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.

  • Ruffer AIFM Limited

    FRN 613490

    • [FCA CF] Material risk taker (since 15 Sep 2022)
    • SMF3 Executive Director (2 Sep 2022 to 2 Mar 2026)
  • Ruffer LLP

    FRN 229135

    • [FCA CF] Material risk taker (since 1 Apr 2022)
    • SMF27 Partner (28 Mar 2022 to 2 Mar 2026)
  • VANGUARD INVESTMENTS UK, LIMITED (no longer approved here)

    FRN 494699

    • [FCA CF] Significant management (22 Feb 2021 to 15 Jun 2021)
    • [FCA CF] Manager of certification employee (22 Feb 2021 to 15 Jun 2021)
    • [FCA CF] Material risk taker (22 Feb 2021 to 15 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 16 Feb 2022)
    • CF1 Director (18 Apr 2019 to 8 Dec 2019)
    • CF29 Significant management (18 Jul 2018 to 8 Dec 2019)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • [FCA CF] Manager of certification employee (22 Feb 2021 to 15 Jun 2021)
    • [FCA CF] Material risk taker (22 Feb 2021 to 15 Jun 2021)
    • [FCA CF] Significant management (22 Feb 2021 to 15 Jun 2021)
    • SMF3 Executive Director (9 Dec 2019 to 16 Feb 2022)
    • CF1 Director (27 Jun 2019 to 8 Dec 2019)
    • CF29 Significant management (18 Jul 2018 to 8 Dec 2019)
  • DWS Investments UK Limited (no longer approved here)

    FRN 429806

    • CF10 Compliance Oversight (26 Nov 2015 to 4 Oct 2016)
  • BlackRock Life Limited (no longer approved here)

    FRN 202909

    • CF1 Director (27 Nov 2013 to 28 Jan 2015)

Recent activity

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

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