Susan Smith

Last updated
2 weeks ago
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Where they hold approval

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

  • EBI PORTFOLIOS LTD

    FRN 581079

    • SMF16 Compliance Oversight (since 11 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2024)
  • Wealthtime Limited (no longer approved here)

    FRN 468461

    • SMF16 Compliance Oversight (13 Nov 2023 to 28 Jun 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (13 Nov 2023 to 28 Jun 2024)
  • Novia Financial Plc (no longer approved here)

    FRN 481600

    • SMF16 Compliance Oversight (13 Nov 2023 to 28 Jun 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (13 Nov 2023 to 28 Jun 2024)
  • Morningstar Wealth Retirement Services Limited (no longer approved here)

    FRN 462660

    • CF11 Money Laundering Reporting (3 May 2018 to 28 Aug 2018)
    • CF10 Compliance Oversight (3 May 2018 to 28 Aug 2018)
    • CF1 Director (16 Nov 2017 to 28 Aug 2018)
  • Morningstar Wealth Administration Limited (no longer approved here)

    FRN 463566

    • CF11 Money Laundering Reporting (19 Apr 2017 to 28 Aug 2018)
    • CF1 Director (19 Apr 2017 to 28 Aug 2018)
    • CF10 Compliance Oversight (19 Apr 2017 to 28 Aug 2018)
  • Investment Funds Direct Limited (no longer approved here)

    FRN 114432

    • CF10 Compliance Oversight (8 Sep 2014 to 17 Mar 2017)

Recent activity

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

No changes recorded yet.