Keith Gordon Smith

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Where they hold approval

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

EAST ANGLIAN FINANCIAL PLANNING LTD (no longer approved here)
FRN 605096
- Responsible for Insurance Distribution (1 Oct 2018 to 8 Nov 2018)
- Responsibility for MCD Intermediation (21 Mar 2016 to 8 Nov 2018)
- CF10 Compliance Oversight (21 Oct 2013 to 8 Nov 2018)
- CF11 Money Laundering Reporting (21 Oct 2013 to 8 Nov 2018)
- CF30 Customer (21 Oct 2013 to 1 Mar 2019)
- Responsible for Insurance Mediation (21 Oct 2013 to 30 Sep 2018)
- CF1 Director (21 Oct 2013 to 1 Mar 2019)
KGS Financial Services Ltd (no longer approved here)
FRN 152697
- (1)Employed By (1 Oct 1998 to 30 Dec 2013)

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.