Richard Mark Smith

Watch for changes

Where they hold approval

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

Capula Investment Management LLP (no longer approved here)
FRN 433422
- CF30 Customer (8 Feb 2012 to 3 Jul 2015)
Bank of America, N.A. (no longer approved here)
FRN 124642
- CF30 Customer (12 Jan 2009 to 15 Sep 2011)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF21 Investment Adviser (21 May 2002 to 7 Jun 2006)

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.