Baring Fund Managers Limited

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Senior staff personally approved by the FCA to hold their roles here.

Kevin James Troup
IRN KJT01032
- Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
- CF2 Non Executive Director (14 Jun 2019 to 8 Dec 2019)
Kevin Lee
IRN KXL01118
- CF29 Significant management (1 Nov 2007 to 31 Dec 2009)
- CF28 Systems and controls (1 Nov 2007 to 17 Dec 2007)
- CF14 Risk Assessment (8 Aug 2003 to 31 Oct 2007)
- CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
Laura Anne Ahto
IRN LAA01025
- CF10a CASS Oversight function (1 Oct 2011 to 13 Sep 2012)
- CF29 Significant management (8 Dec 2009 to 13 Sep 2012)
Lesley Ann Mastandrea
IRN LXM20664
- SMF18 Other Overall Responsibility (9 Dec 2019 to 30 Sep 2020)
- CF29 Significant management (21 Nov 2019 to 8 Dec 2019)
Lesley Erin Garafola
IRN LXG00067
- SMF18 Other Overall Responsibility (since 25 Mar 2021)
Louisa Jane Paul
IRN LJJ01024
- CF30 Customer (1 Nov 2007 to 10 Mar 2014)
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
Louise Catriona Barrie
IRN LCR01011
- CF21 Investment Adviser (30 Sep 2004 to 24 Dec 2004)
Lyndon Guy Bassett
IRN LGB01007
- CF22 Investment Adviser (Trainee) (26 Feb 2003 to 27 Jun 2003)
Maja Emelie Sigrid Lindstrom
IRN MEL01070
- CF30 Customer (7 Apr 2018 to 8 Dec 2019)
Mala Singh Dhillon
IRN MSD01027
- CF14 Risk Assessment (5 May 2005 to 25 Oct 2007)
- CF11 Money Laundering Reporting (1 Dec 2001 to 7 Dec 2006)
- CF10 Compliance Oversight (1 Dec 2001 to 25 Oct 2007)

Smaller firms operating under this firm's FCA authorisation.

Baring Asset Management Life Limited (no longer appointed)
FRN 201881 · Appointed 27 Oct 2000 · Until 19 Aug 2002
Baring Global Fund Managers Limited (no longer appointed)
FRN 155149 · Appointed 21 Aug 1991 · Until 30 Jan 2002
Baring Global Fund Managers Limited (no longer appointed)
FRN 155149 · Appointed 19 Aug 1991 · Until 30 Jan 2002

Updates to this firm'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. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.