Lee James Smart

Watch for changes

Where they hold approval

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

Commerzbank AG
FRN 124920
- [FCA CF] Client dealing (since 26 Apr 2023)
- [FCA CF] Material risk taker (26 Apr 2023 to 6 Mar 2024)
Eisler Capital (UK) Ltd (no longer approved here)
FRN 709654
- [FCA CF] Client dealing (31 Mar 2021 to 16 Apr 2023)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (24 Sep 2009 to 25 Jul 2011)

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.