Polly Anna Smith

Watch for changes

Where they hold approval

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

Nero Partners Consulting Ltd
FRN 773344
- [FCA CF] CASS oversight function (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF30 Customer (11 May 2017 to 8 Dec 2019)
- CF1 Director (11 May 2017 to 8 Dec 2019)
- CF10 Compliance Oversight (11 May 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (11 May 2017 to 8 Dec 2019)
TOKIO MARINE ASSET MANAGEMENT (LONDON) LIMITED (no longer approved here)
FRN 487699
- CF30 Customer (1 Oct 2008 to 19 Feb 2009)
Schroders IS Limited (no longer approved here)
FRN 195028
- CF30 Customer (15 Nov 2007 to 1 Jul 2008)

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.