Richard Smither

Watch for changes

Where they hold approval

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

Northcross Capital LLP
FRN 435490
- [FCA CF] Client dealing (since 18 Feb 2020)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Manager of certification employee (5 Nov 2016 to 16 Dec 2019)
- [FCA CF] Client dealing (7 Sep 2016 to 16 Dec 2019)
- CF30 Customer (6 Jul 2015 to 6 Mar 2016)
The Bank of Nova Scotia (no longer approved here)
FRN 141308
- CF30 Customer (9 Jan 2012 to 2 Apr 2015)
Daiwa Capital Markets Europe Limited (no longer approved here)
FRN 124490
- CF30 Customer (9 Jan 2009 to 6 Dec 2011)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (20 Oct 2008 to 20 Oct 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.