Noel Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • KNFM Ltd

    FRN 227737

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Aug 2020)
    • Responsible for Insurance Distribution (since 7 Aug 2020)
    • SMF16 Compliance Oversight (since 7 Aug 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • CF1 Director (6 May 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Mar 2005 to 30 Apr 2010)
    • CF8 Apportionment and Oversight (17 May 2004 to 31 Mar 2009)
    • CF10 Compliance Oversight (17 May 2004 to 30 Apr 2010)
    • CF21 Investment Adviser (17 May 2004 to 31 Oct 2007)
    • CF3 Chief Executive (17 May 2004 to 30 Apr 2010)
  • Andrew Copeland Financial Services Limited (no longer approved here)

    FRN 125510

    • (4)Employed By (1 Oct 1998 to 1 Jun 2004)

Recent activity

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

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