Jonathan Graydon Baum

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.

  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF10 Compliance Oversight (19 Apr 2011 to 12 Aug 2011)
    • CF11 Money Laundering Reporting (12 Jan 2009 to 12 Aug 2011)
    • CF28 Systems and controls (9 Jan 2008 to 6 Mar 2016)
  • THE MORTGAGE BUSINESS PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 304154

    • CF28 Systems and controls (11 Apr 2011 to 31 Oct 2015)
    • CF10 Compliance Oversight (22 Mar 2011 to 19 Apr 2011)
    • CF11 Money Laundering Reporting (12 Jan 2009 to 8 Apr 2011)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF28 Systems and controls (29 Jun 2009 to 31 Dec 2013)
    • CF11 Money Laundering Reporting (29 Jun 2009 to 12 Aug 2011)
    • CF10 Compliance Oversight (29 Jun 2009 to 12 Aug 2011)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF10 Compliance Oversight (16 Jan 2009 to 12 Aug 2011)
    • CF11 Money Laundering Reporting (16 Jan 2009 to 12 Aug 2011)
    • CF28 Systems and controls (16 Jan 2009 to 6 Mar 2016)
  • Halifax Share Dealing Limited (no longer approved here)

    FRN 183332

    • CF11 Money Laundering Reporting (12 Jan 2009 to 12 Aug 2011)
    • CF28 Systems and controls (9 Jan 2008 to 31 Oct 2015)
    • CF10 Compliance Oversight (9 Jan 2008 to 12 Aug 2011)

Recent activity

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

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