Robert Bernard Smith

Watch for changes

Where they hold approval

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

Schroder Unit Trusts Limited
FRN 197288
- [FCA CF] Manager of certification employee (since 26 Mar 2024)
Schroder Investment Management Limited
FRN 119348
- [FCA CF] Manager of certification employee (since 14 Sep 2022)
- [FCA CF] Client dealing (since 1 Oct 2020)
- CF30 Customer (22 Feb 2011 to 8 Dec 2019)
Schroders IS Limited
FRN 195028
- [FCA CF] Client dealing (since 8 Aug 2022)
- [FCA CF] Manager of certification employee (14 Sep 2022 to 25 Mar 2024)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF30 Customer (22 Feb 2011 to 10 Apr 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.