Richard Charles Smith

Watch for changes

Where they hold approval

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

Platform Securities LLP
FRN 214206
- SMF3 Executive Director (since 11 Jul 2024)
- SMF2 Chief Finance (since 11 Mar 2022)
Aviva Wrap UK Limited (no longer approved here)
FRN 231530
- [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Oct 2021)
Aviva Pension Trustees UK Limited (no longer approved here)
FRN 465132
- [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Oct 2021)
Aviva Investment Solutions UK Limited (no longer approved here)
FRN 515334
- [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Oct 2021)
Interactive Investor Services Limited (no longer approved here)
FRN 141282
- CF29 Significant management (5 Aug 2015 to 6 Jun 2017)
- CF10a CASS Oversight function (5 Aug 2015 to 6 Jun 2017)

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.