Stephen Mark 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.

  • Ormonde Advisory Limited

    FRN 922401

    • (8)[FCA CF] Client dealing (since 5 Sep 2022)
    • (9)[FCA CF] Material risk taker (since 25 Oct 2021)
    • (5)SMF17 Money Laundering Reporting Officer (MLRO) (since 22 May 2021)
    • (6)SMF16 Compliance Oversight (since 22 May 2021)
    • (7)SMF3 Executive Director (since 2 Feb 2021)

Recent activity

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

  1. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at Ormonde Advisory Limited

  2. controlled function removed: SMF3 Executive Director at Ormonde Advisory Limited

  3. controlled function removed: [FCA CF] Client dealing at Ormonde Advisory Limited

  4. controlled function removed: SMF16 Compliance Oversight at Ormonde Advisory Limited

  5. controlled function removed: [FCA CF] Material risk taker at Ormonde Advisory Limited

  6. controlled function added: (5)SMF17 Money Laundering Reporting Officer (MLRO) at Ormonde Advisory Limited

  7. controlled function added: (6)SMF16 Compliance Oversight at Ormonde Advisory Limited

  8. controlled function added: (7)SMF3 Executive Director at Ormonde Advisory Limited

  9. controlled function added: (8)[FCA CF] Client dealing at Ormonde Advisory Limited

  10. controlled function added: (9)[FCA CF] Material risk taker at Ormonde Advisory Limited