Mark 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.

  • MAUNBY INVESTMENT MANAGEMENT LIMITED

    FRN 114428

    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Feb 2026)
    • [FCA CF] Functions requiring qualifications (since 9 Feb 2026)
  • IM ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 402770

    • [FCA CF] Client dealing (1 Jul 2023 to 7 Nov 2025)
    • [FCA CF] Functions requiring qualifications (1 Jul 2023 to 7 Nov 2025)
    • [FCA CF] Manager of certification employee (1 Jul 2023 to 7 Nov 2025)

Recent activity

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

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