Rory Smith

Watch for changes

Where they hold approval

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

Messels Limited
FRN 403323
- CF30 Customer (since 4 Dec 2024)
Oxcap Analytics Limited
FRN 1011473
- (4)Employed By (since 4 Dec 2024)
Investec Bank PLC (no longer approved here)
FRN 172330
- [FCA CF] Client dealing (27 Sep 2019 to 20 May 2022)
RBC Europe Limited (no longer approved here)
FRN 124543
- [FCA CF] Client dealing (20 Nov 2018 to 13 Aug 2019)
Panmure Liberum Capital Limited (no longer approved here)
FRN 465050
- CF30 Customer (10 Oct 2016 to 2 Oct 2018)

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.