Oliver Harker-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.

  • Baring International Investment Limited

    FRN 122628

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (23 Nov 2020 to 2 Oct 2023)
    • CF30 Customer (21 Apr 2018 to 8 Dec 2019)
  • Baring Asset Management Limited

    FRN 170601

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (23 Nov 2020 to 2 Oct 2023)
    • CF30 Customer (21 Apr 2018 to 8 Dec 2019)
  • BARINGS (U.K.) LIMITED

    FRN 194662

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (23 Nov 2020 to 2 Oct 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 11 Apr 2025)
    • CF30 Customer (29 Apr 2017 to 8 Dec 2019)
  • Baring Fund Managers Limited (no longer approved here)

    FRN 119187

    • CF30 Customer (21 Apr 2018 to 8 Dec 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 23 Jun 2010)
    • CF21 Investment Adviser (20 Apr 2007 to 31 Oct 2007)

Recent activity

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

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