William Charles 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.

  • SCOTIA WEALTH MANAGEMENT LTD.

    FRN 606279

    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 9 Aug 2016)
    • CF30 Customer (4 Nov 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (4 Nov 2013 to 10 Mar 2016)
    • CF1 Director (4 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Nov 2013 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (3 Jan 2011 to 14 Nov 2013)
    • CF30 Customer (3 Jan 2011 to 14 Nov 2013)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF4 Partner (AR) (6 Jun 2008 to 24 Mar 2011)
    • CF30 Customer (15 May 2008 to 24 Mar 2011)
  • Scotia Independent Financial Services (no longer approved here)

    FRN 172766

    • (25)Employed By (15 May 2008 to 24 Mar 2011)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF24 Pension Transfer Specialist (5 Jul 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (5 Jul 2005 to 31 Oct 2007)

Recent activity

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

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