Richard Philip Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • HSBC Global Asset Management (UK) Limited

    FRN 122335

    • [FCA CF] Manager of certification employee (since 30 Jan 2025)
    • [FCA CF] Client dealing (since 7 Sep 2023)
    • [FCA CF] Manager of certification employee (15 Feb 2024 to 7 Jun 2024)
  • abrdn Investments Limited (no longer approved here)

    FRN 121891

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Aug 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2005 to 31 Oct 2007)
  • abrdn Investment Management Limited (no longer approved here)

    FRN 188406

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Sep 2023)
    • CF30 Customer (28 Nov 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.