Roy Smale

Last updated
3 weeks ago
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Where they hold approval

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

  • Wellington Management International Limited

    FRN 208573

    • SMF18 Other Overall Responsibility (since 25 Apr 2024)
    • [FCA CF] Material risk taker (1 Jan 2022 to 25 Apr 2024)
    • [FCA CF] Significant management (1 Jan 2022 to 25 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (25 Oct 2010 to 8 Dec 2019)
  • BNP Paribas Asset Management UK Limited (no longer approved here)

    FRN 170064

    • CF30 Customer (1 Jul 2010 to 23 Jul 2010)

Recent activity

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

No changes recorded yet.