James Stuart Baldock

Watch for changes

Where they hold approval

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

UBS Asset Management (UK) Ltd
FRN 119319
- [FCA CF] Client dealing (since 1 May 2024)
UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD (no longer approved here)
FRN 114627
- [FCA CF] Client dealing (9 Dec 2019 to 2 Mar 2026)
- CF30 Customer (11 May 2015 to 8 Dec 2019)
CREDIT SUISSE INTERNATIONAL (no longer approved here)
FRN 146702
- CF30 Customer (11 May 2015 to 22 Jan 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (24 Oct 2012 to 27 Apr 2015)

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.