Carl Allan Baldwin

Watch for changes

Where they hold approval

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

AMOVA ASSET MANAGEMENT UK LIMITED
FRN 122084
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF10 Compliance Oversight (8 Aug 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (8 Aug 2019 to 8 Dec 2019)
Meteor Asset Management Limited (no longer approved here)
FRN 459325
- CF10 Compliance Oversight (1 Sep 2018 to 15 Feb 2019)
Meteor Investment Management Limited (no longer approved here)
FRN 496880
- CF10 Compliance Oversight (1 Sep 2018 to 15 Feb 2019)
South River Asset Management Limited (no longer approved here)
FRN 197097
- CF10 Compliance Oversight (1 Mar 2010 to 13 May 2011)
City of London Investment Management Company Limited (no longer approved here)
FRN 169910
- CF10 Compliance Oversight (1 Dec 2007 to 15 Feb 2010)
- CF11 Money Laundering Reporting (1 Dec 2007 to 15 Feb 2010)
Wellington Management International Limited (no longer approved here)
FRN 208573
- CF10 Compliance Oversight (8 Apr 2005 to 22 Jun 2006)

Updates to this individual'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. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

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