Colin Ritchie Bauld

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.

  • Colin R Bauld

    FRN 823869

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (22 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 May 2019 to 8 Dec 2019)
    • CF30 Customer (22 May 2019 to 8 Dec 2019)
  • Christopher Doak (no longer approved here)

    FRN 207730

    • Employed By (5 Aug 2003 to 22 Sep 2005)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (28 Mar 2002 to 22 Sep 2005)
  • Money Matters (Scotland) Ltd (no longer approved here)

    FRN 196551

    • (13)Employed By (28 Mar 2002 to 5 Aug 2003)

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