Nigel Peter Arthur 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.

  • Hawsons Wealth Management Limited (no longer approved here)

    FRN 586696

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Dec 2020)
    • SMF3 Executive Director (9 Dec 2019 to 25 May 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2021)
    • Responsibility for MCD Intermediation (24 Oct 2018 to 14 Dec 2020)
    • Responsible for Insurance Mediation (3 Dec 2012 to 27 Jun 2018)
    • CF1 Director (3 Dec 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Dec 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Dec 2012 to 8 Dec 2019)
    • CF30 Customer (3 Dec 2012 to 8 Dec 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (17 Sep 2012 to 21 Dec 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2003)

Recent activity

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

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