ROSALIND JANE SMYTH

Last updated
2 weeks ago
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Where they hold approval

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

  • BMO Capital Markets Limited

    FRN 170937

    • SMF7 Group Entity Senior Manager (since 13 Dec 2022)
    • [FCA CF] Material risk taker (since 1 Jun 2020)
    • SMF16 Compliance Oversight (29 Dec 2023 to 5 Jun 2024)
    • CF10 Compliance Oversight (5 Feb 2016 to 8 Dec 2019)
  • Bank of Montreal

    FRN 124788

    • SMF7 Group Entity Senior Manager (since 13 Dec 2022)
    • [FCA CF] Material risk taker (since 1 Jun 2022)
    • SMF16 Compliance Oversight (7 Mar 2016 to 5 Sep 2022)
    • CF10 Compliance Oversight (5 Feb 2016 to 6 Mar 2016)
  • THAMES RIVER CAPITAL LLP (no longer approved here)

    FRN 426349

    • CF29 Significant management (13 Jul 2011 to 4 Mar 2016)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF1 Director (6 Apr 2011 to 1 Jan 2014)

Recent activity

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

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