Neil Graeme Smith

Watch for changes

Where they hold approval

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

UIA (Insurance) Limited (no longer approved here)
FRN 110863
- SIMF2 Chief Finance Function (23 Aug 2017 to 29 Jan 2018)
- SIMF4 Chief Risk Function (23 Aug 2017 to 29 Jan 2018)
NPA Insurance Limited (no longer approved here)
FRN 202069
- CF1 Director (25 Aug 2015 to 31 Oct 2015)
PIVOTAL FINANCIAL LIMITED (no longer approved here)
FRN 665649
- CF29 Significant management (2 Mar 2015 to 26 May 2015)
WREN STERLING FINANCIAL PLANNING LIMITED (no longer approved here)
FRN 665653
- CF29 Significant management (2 Mar 2015 to 26 May 2015)
Pinnacle Insurance Limited (no longer approved here)
FRN 110866
- CF29 Significant management (18 Sep 2012 to 11 Jun 2013)
Direct Life and Pension Services Limited (no longer approved here)
FRN 155312
- CF29 Significant management (18 Sep 2012 to 11 Jun 2013)
Pinnacle Insurance Management Services Limited (no longer approved here)
FRN 315503
- CF29 Significant management (18 Sep 2012 to 11 Jun 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.