Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Robert W. Baird Limited
FRN 124308
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF10 Compliance Oversight (3 Nov 2014 to 8 Dec 2019)
- CF11 Money Laundering Reporting (3 Nov 2014 to 8 Dec 2019)
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Baird Capital Partners Europe Limited
FRN 150154
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF11 Money Laundering Reporting (24 Oct 2014 to 8 Dec 2019)
- CF10 Compliance Oversight (24 Oct 2014 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.