Reference Case Number: FOI9057
Freedom of Information: Right to know request:
Please provide a list of all individuals who hold either an SMF1, SMF3, SMF16 or SMF17 within a financial advisory firm. In the list please detail which of the listed functions they hold, their full name (first and last), and the firm they are associated with (including the firm reference number please).
FCA response:
We can confirm that we hold the requested information, which is set out in Annex A below.
In compiling the figures provided, please note we have interpreted ‘financial advice’ firms as those firms which hold the following permissions:
- 'Advising (ex Pension Transfers/Opt Outs)'.
- 'Advising on Pension Transfers/Opt Outs'.