Richard Graham Catherwood Smith

Last updated
5 days ago
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Where they hold approval

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

  • Sackville Capital Ltd (no longer approved here)

    FRN 979551

    • SMF16 Compliance Oversight (15 May 2023 to 7 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 May 2023 to 7 Feb 2024)
  • Exception Capital LLP (no longer approved here)

    FRN 473719

    • SMF27 Partner (9 Dec 2019 to 21 Dec 2022)
    • CF3 Chief Executive (AR) (8 Jun 2016 to 1 Jun 2023)
    • CF1 Director (AR) (8 Jun 2016 to 1 Jun 2023)
    • CF30 Customer (8 Jun 2016 to 1 Jun 2023)
    • CF4 Partner (29 Nov 2007 to 16 Mar 2009)
    • CF11 Money Laundering Reporting (29 Nov 2007 to 16 Mar 2009)
    • CF10 Compliance Oversight (29 Nov 2007 to 16 Mar 2009)
  • Saranac Partners Limited (no longer approved here)

    FRN 763601

    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2020)
    • CF1 Director (3 May 2017 to 8 Dec 2019)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF1 Director (AR) (12 Dec 2016 to 3 May 2017)
  • Waystone Management (UK) Limited (no longer approved here)

    FRN 429093

    • CF1 Director (AR) (14 Sep 2016 to 28 Apr 2017)
  • CSC Fund Services UK Limited (no longer approved here)

    FRN 225785

    • CF8 Apportionment and Oversight (11 Oct 2007 to 31 Oct 2007)
    • CF3 Chief Executive (11 Oct 2007 to 12 Jun 2008)
    • Responsible for Insurance Mediation (11 Oct 2007 to 12 Jun 2008)
    • CF1 Director (20 Oct 2005 to 12 Jun 2008)
  • STRATEGIC INVESTMENTS GROUP LIMITED (no longer approved here)

    FRN 456379

    • CF2 Non Executive Director (15 Nov 2006 to 26 Feb 2015)

Recent activity

Updates to this individual's record on the FCA register.

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