Dominic David Batty

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Where they hold approval

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

Dominic Batty
FRN 978526
- (1)Employed By (since 6 Jul 2022)
St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 16 Jan 2012)
Golding & Partners Ltd (no longer approved here)
FRN 402158
- (4)Employed By (19 Dec 2014 to 20 Jul 2022)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (5 Jul 2011 to 26 Sep 2011)

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.