Michael Anthony Smith

Watch for changes

Where they hold approval

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

WINTERFLOOD SECURITIES LIMITED
FRN 141455
- [FCA CF] Client dealing (since 1 Mar 2023)
The Social Investment Market Community Interest Company (no longer approved here)
FRN 463260
- CF30 Customer (1 Dec 2021 to 23 Feb 2023)
- CF1 Director (AR) (1 Dec 2021 to 23 Feb 2023)
Strata Global Limited (no longer approved here)
FRN 563834
- [FCA CF] Client dealing (22 Feb 2021 to 10 Jan 2023)
Linear Investments Limited (no longer approved here)
FRN 537389
- CF30 Customer (16 Aug 2019 to 17 Dec 2020)
Convexity Capital Partners Limited (no longer approved here)
FRN 844636
- Employed By (16 Aug 2019 to 17 Dec 2020)
Bondinvest Capital Ltd (no longer approved here)
FRN 777922
- Employed By (16 May 2017 to 17 Dec 2020)
Investec Bank PLC (no longer approved here)
FRN 172330
- CF30 Customer (3 Jun 2011 to 6 Mar 2016)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (1 Nov 2007 to 4 Mar 2011)
- CF21 Investment Adviser (23 May 2005 to 31 Oct 2007)

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.