Sandra Philippa Smith

Last updated
1 month ago
Watch for changes

Where they hold approval

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

  • Financial Management (no longer approved here)

    FRN 490571

    • (11)[FCA CF] Client dealing (24 May 2021 to 29 Mar 2026)
    • (3)SMF27 Partner (9 Dec 2019 to 29 Mar 2026)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Mar 2026)
    • (5)SMF16 Compliance Oversight (9 Dec 2019 to 29 Mar 2026)
    • (12)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2021)
    • (2)Responsible for Insurance Distribution (1 Oct 2018 to 29 Mar 2026)
    • (9)CF8 Apportionment and Oversight (2 Jan 2009 to 31 Mar 2009)
    • (1)Responsible for Insurance Mediation (2 Jan 2009 to 30 Sep 2018)
    • (10)CF4 Partner (2 Jan 2009 to 8 Dec 2019)
    • (6)CF30 Customer (2 Jan 2009 to 8 Dec 2019)
    • (7)CF11 Money Laundering Reporting (2 Jan 2009 to 8 Dec 2019)
    • (8)CF10 Compliance Oversight (2 Jan 2009 to 8 Dec 2019)
  • Financial Management (no longer approved here)

    FRN 200125

    • (1)Employed By (1 Dec 2001 to 30 Dec 2008)

Recent activity

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

  1. controlled function added: (6)CF30 Customer at Financial Management

  2. controlled function added: (7)CF11 Money Laundering Reporting at Financial Management

  3. controlled function added: (8)CF10 Compliance Oversight at Financial Management

  4. controlled function added: (9)CF8 Apportionment and Oversight at Financial Management

  5. controlled function added: (10)CF4 Partner at Financial Management

  6. controlled function added: (11)[FCA CF] Client dealing at Financial Management

  7. controlled function added: (12)[FCA CF] Functions requiring qualifications at Financial Management