Shaun Robert Smith

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Where they hold approval

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

Fraser Heath Mortgage Services Ltd
FRN 794405
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- SMF16 Compliance Oversight (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- Responsibility for MCD Intermediation (since 12 Feb 2018)
- Responsible for Insurance Mediation (12 Feb 2018 to 30 Sep 2018)
- CF10 Compliance Oversight (12 Feb 2018 to 8 Dec 2019)
- CF1 Director (12 Feb 2018 to 8 Dec 2019)
W H Ireland Limited (no longer approved here)
FRN 140773
- CF30 Customer (2 Oct 2009 to 31 Aug 2010)

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.