Thomas Edward Smart

Watch for changes

Where they hold approval

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

Heronsgate Capital LLP
FRN 933757
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Sep 2024)
- [FCA CF] Client dealing (since 9 Sep 2024)
Rathbones Investment Management Limited (no longer approved here)
FRN 116316
- [FCA CF] Client dealing (1 Mar 2024 to 7 Jun 2024)
- [FCA CF] Functions requiring qualifications (1 Mar 2024 to 7 Jun 2024)

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.