Stephen Charles Smit

Watch for changes

Where they hold approval

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

State Street Bank and Trust Company (no longer approved here)
FRN 170462
- CF30 Customer (3 Feb 2011 to 14 Dec 2012)
- CF29 Significant management (13 May 2009 to 14 Dec 2012)
- CF21 Investment Adviser (4 Nov 2002 to 1 Mar 2004)
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 1 Mar 2004)
State Street Global Markets International Limited (no longer approved here)
FRN 194525
- CF30 Customer (3 Feb 2011 to 14 Dec 2012)
- CF1 Director (13 May 2009 to 14 Dec 2012)
- CF3 Chief Executive (13 May 2009 to 14 Dec 2012)
- CF21 Investment Adviser (4 Nov 2002 to 1 Mar 2004)
State Street Trustees Limited (no longer approved here)
FRN 186237
- CF29 Significant management (7 Jan 2010 to 18 Dec 2012)

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.