Thomas James Smith

Watch for changes

Where they hold approval

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

NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)
FRN 117664
- CF4 Partner (AR) (1 Aug 2010 to 24 Dec 2013)
A S Moss, G R Kennedy & H Duxbury (no longer approved here)
FRN 407724
- (5)Employed By (29 Jul 2010 to 24 Dec 2013)

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

10 hours ago
controlled function added: (5)Employed By at A S Moss, G R Kennedy & H Duxbury

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.