Alexander Groat Baker

Last updated
1 week ago
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Where they hold approval

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

  • MitonOptimal Portfolio Management (UK) Limited (no longer approved here)

    FRN 770509

    • SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2022)
    • SMF3 Executive Director (9 Dec 2019 to 14 Jan 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Jan 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jan 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 14 Jan 2022)
    • Responsible for Insurance Mediation (1 Sep 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Sep 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
    • CF1 Director (1 Sep 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.