Roger Harding-Smith

Watch for changes

Where they hold approval

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

Openwork Limited (no longer approved here)
FRN 408285
- CF21 Investment Adviser (27 Mar 2006 to 2 May 2006)
- CF22 Investment Adviser (Trainee) (1 Jun 2005 to 27 Mar 2006)
Gorman Peters Associates Financial Consultancy (no longer approved here)
FRN 222298
- (1)Employed By (12 Dec 2002 to 9 Feb 2004)

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.