Lance Forbes Baron

Last updated
6 days ago
Watch for changes

Where they hold approval

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

  • Zozma Ltd

    FRN 938269

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Significant management (since 4 Oct 2021)
    • SMF16 Compliance Oversight (since 4 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Oct 2021)
    • SMF3 Executive Director (since 4 Oct 2021)
    • [FCA CF] Client dealing (since 4 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 4 Oct 2021)
    • Responsible for Insurance Distribution (since 4 Oct 2021)
  • HFMC Asset Management Limited (no longer approved here)

    FRN 194722

    • CF11 Money Laundering Reporting (14 Apr 2003 to 25 Oct 2004)
    • CF10 Compliance Oversight (14 Apr 2003 to 25 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 25 Oct 2004)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 25 Oct 2004)
    • CF1 Director (1 Dec 2001 to 25 Oct 2004)

Recent activity

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

No changes recorded yet.