Peter Alan Smith

Watch for changes

Where they hold approval

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

N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF2 Non Executive Director (19 Sep 2016 to 8 Dec 2019)
- SMF11 Chair of the Audit Committee (7 Mar 2016 to 19 Sep 2016)
- SMF9 Chair of the Governing Body (7 Mar 2016 to 19 Sep 2016)
Rothschild & Co Wealth Management UK Limited (no longer approved here)
FRN 218613
- CF2 Non Executive Director (13 Jan 2003 to 23 Jan 2007)
EQUITABLE LIFE ASSURANCE SOCIETY,(THE) (no longer approved here)
FRN 110340
- CF2 Non Executive Director (1 Dec 2001 to 31 Mar 2010)

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.