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.

Christopher Thomas Forster
IRN CTF01005
- CF28 Systems and controls (1 Nov 2007 to 23 Dec 2008)
- CF14 Risk Assessment (23 Feb 2007 to 31 Oct 2007)
Christy Nicol Tabrett
IRN CNT01015
- CF26 Customer Trading (9 Nov 2004 to 22 Sep 2006)
Clare Elizabeth Pryme
IRN CEP01081
- CF30 Customer (20 May 2017 to 8 Mar 2018)
Clive William Bromley
IRN CWB01023
- CF30 Customer (1 Nov 2007 to 10 Mar 2014)
- CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
Craig Abouchar
IRN CXA01225
- CF30 Customer (10 Sep 2018 to 8 Dec 2019)
Daniel John Smith
IRN DJS01200
- CF27 Investment Management (1 Dec 2001 to 7 Jan 2002)
Daniel Mark Herbert
IRN DMH01077
- CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2003)
Daniel Smith
IRN DAS01133
- CF21 Investment Adviser (19 Jun 2002 to 19 Jun 2002)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Jun 2002)
David John Brennan
IRN DJB01210
- CF29 Significant management (1 Nov 2007 to 24 Jun 2016)
- CF8 Apportionment and Oversight (20 Jun 2003 to 31 Mar 2009)
- CF19 Significant Mgt (Financial Resources) (9 Apr 2002 to 31 Oct 2007)
- CF16 Significant Mgt (Desgntd Investment Business) (9 Apr 2002 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 9 Apr 2002)
- CF21 Investment Adviser (1 Dec 2001 to 24 Dec 2004)
David Kiddie
IRN DGK01013
- CF14 Risk Assessment (15 Dec 2003 to 26 Jul 2004)
- CF16 Significant Mgt (Desgntd Investment Business) (15 Dec 2003 to 6 Nov 2006)

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.