Phillip John Smith

Watch for changes

Where they hold approval

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

Hermes Investment Management Ltd (no longer approved here)
FRN 150000
- CF30 Customer (1 Nov 2007 to 9 Jan 2017)
- CF27 Investment Management (13 Nov 2006 to 31 Oct 2007)
Columbia Threadneedle Fund Management Limited (no longer approved here)
FRN 121940
- CF27 Investment Management (11 Oct 2004 to 27 Oct 2006)
Columbia Threadneedle Management Limited (no longer approved here)
FRN 119230
- CF27 Investment Management (6 Oct 2003 to 27 Oct 2006)
- CF26 Customer Trading (1 Dec 2001 to 6 Oct 2003)

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.