Colin Baldock

Last updated
5 days ago
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Where they hold approval

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

  • Colin Baldock

    FRN 977595

    • 21. Advising or arranging (bringing about) equity release transactions
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 3 Jan 2023)
    • Responsibility for MCD Intermediation (since 3 Jan 2023)
    • Responsible for Insurance Distribution (since 3 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Jan 2023)
    • [FCA CF] Client dealing (since 3 Jan 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 13 Jan 2023)
    • CF30 Customer (1 Nov 2007 to 12 Jan 2023)
    • CF21 Investment Adviser (6 Mar 2006 to 31 Oct 2007)
  • Colin Baldock (no longer approved here)

    FRN 170384

    • Employed By (1 Dec 2001 to 12 Jan 2023)

Recent activity

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