WILLIAM KENNETH SPINNEY Smith

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • BMO Capital Markets Limited

    FRN 170937

    • [FCA CF] Material risk taker (since 1 Jun 2020)
    • SMF1 Chief Executive (9 Dec 2019 to 29 Oct 2025)
    • SMF3 Executive Director (9 Dec 2019 to 29 Oct 2025)
    • CF3 Chief Executive (28 Apr 2011 to 8 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 11 Oct 2011)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (4 Aug 2004 to 8 Dec 2019)
    • CF16 Significant Mgt (Desgntd Investment Business) (4 Aug 2004 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (15 Jun 2004 to 31 Oct 2007)
  • Bank of Montreal (no longer approved here)

    FRN 124788

    • [FCA CF] Material risk taker (1 Jun 2022 to 28 Oct 2025)
    • SMF19 Head of Overseas Branch/Head of Overseas (7 Mar 2016 to 29 Oct 2025)
    • CF3 Chief Executive (28 Apr 2011 to 6 Mar 2016)
  • Pyrford International Limited (no longer approved here)

    FRN 122137

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 8 Nov 2021)
    • CF2 Non Executive Director (26 Jun 2019 to 8 Dec 2019)
    • CF1 Director (28 Apr 2011 to 26 Jun 2019)
  • Columbia Threadneedle Management Limited (no longer approved here)

    FRN 119230

    • CF1 Director (21 May 2014 to 26 Jun 2019)
  • Columbia Threadneedle REP AM Limited (no longer approved here)

    FRN 119283

    • CF1 Director (21 May 2014 to 26 Jun 2019)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF1 Director (21 May 2014 to 26 Jun 2019)
  • Columbia Threadneedle Investment Business Limited (no longer approved here)

    FRN 177896

    • CF1 Director (21 May 2014 to 26 Jun 2019)
  • THAMES RIVER CAPITAL LLP (no longer approved here)

    FRN 426349

    • CF29 Significant management (21 May 2014 to 26 Jun 2019)

Recent activity

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

No changes recorded yet.