Stephen Smith

Watch for changes

Where they hold approval

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

Sona Asset Management (UK) LLP
FRN 814191
- [FCA CF] Manager of certification employee (since 29 Nov 2024)
- [FCA CF] Material risk taker (since 25 Sep 2023)
- [FCA CF] Client dealing (since 25 Sep 2023)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Client dealing (17 Oct 2017 to 9 Oct 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (19 Feb 2010 to 6 Mar 2016)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (7 Nov 2008 to 19 Aug 2009)
Citibank, N.A. (no longer approved here)
FRN 124704
- CF30 Customer (7 Nov 2008 to 19 Aug 2009)

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.