Dale Baxter

Last updated
3 weeks ago
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Where they hold approval

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

  • MUFG BANK, LTD

    FRN 139189

    • [FCA CF] Manager of certification employee (since 24 Jan 2025)
    • [FCA CF] Client dealing (since 14 Aug 2017)
    • [FCA CF] Material risk taker (1 May 2018 to 2 May 2018)
    • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 2 May 2018)
    • CF30 Customer (13 May 2015 to 6 Mar 2016)
  • MUFG Securities EMEA plc

    FRN 124512

    • [PRA CF] Significant risk taker or Material risk taker (since 15 Oct 2024)
    • [FCA CF] Material risk taker (since 15 Oct 2024)
    • [FCA CF] Manager of certification employee (since 5 Jan 2024)
    • [FCA CF] Client dealing (since 14 Aug 2017)
    • [FCA CF] Material risk taker (1 May 2018 to 2 May 2018)
    • [PRA CF] Significant risk taker or Material risk taker (1 May 2018 to 2 May 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (23 Sep 2014 to 30 Dec 2014)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (23 Sep 2014 to 30 Dec 2014)

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

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