Paul Richard Smith

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Where they hold approval

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

AXA Investment Managers GS Limited
FRN 188523
- [FCA CF] Client dealing (since 3 Oct 2025)
- CF30 Customer (21 Jul 2009 to 28 Jan 2010)
Mariana UFP LLP (no longer approved here)
FRN 551170
- [FCA CF] Client dealing (18 Dec 2023 to 17 Sep 2025)
- CF30 Customer (12 Mar 2013 to 1 Apr 2022)
Columbia Threadneedle Management Limited (no longer approved here)
FRN 119230
- [FCA CF] Client dealing (4 May 2022 to 31 Oct 2023)
Mariana UFP (Americas) Limited (no longer approved here)
FRN 649237
- (30)Employed By (22 Oct 2014 to 1 Apr 2022)

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.