Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Baring Fund Managers Limited
FRN 119187
- SMF3 Executive Director (since 31 Jul 2023)
- SMF1 Chief Executive (since 31 Jul 2023)
- [FCA CF] Material risk taker (9 Dec 2019 to 30 Jul 2023)
- [FCA CF] Significant management (9 Dec 2019 to 30 Jul 2023)
- CF30 Customer (6 Jun 2018 to 8 Dec 2019)
- CF29 Significant management (6 Jun 2018 to 8 Dec 2019)
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Baring International Investment Limited
FRN 122628
- SMF1 Chief Executive (since 31 Jul 2023)
- SMF3 Executive Director (since 31 Jul 2023)
- SMF18 Other Overall Responsibility (17 Mar 2022 to 30 Jun 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 27 May 2022)
- [FCA CF] Material risk taker (9 Dec 2019 to 27 May 2022)
- [FCA CF] Significant management (9 Dec 2019 to 27 May 2022)
- CF30 Customer (6 Jun 2018 to 8 Dec 2019)
- CF29 Significant management (6 Jun 2018 to 8 Dec 2019)
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Baring Asset Management Limited
FRN 170601
- SMF3 Executive Director (since 31 Jul 2023)
- SMF1 Chief Executive (since 31 Jul 2023)
- SMF18 Other Overall Responsibility (17 Mar 2022 to 30 Jun 2023)
- [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 27 May 2022)
- [FCA CF] Material risk taker (9 Dec 2019 to 27 May 2022)
- [FCA CF] Significant management (9 Dec 2019 to 27 May 2022)
- CF30 Customer (6 Jun 2018 to 8 Dec 2019)
- CF29 Significant management (6 Jun 2018 to 8 Dec 2019)
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BARINGS (U.K.) LIMITED
FRN 194662
- SMF3 Executive Director (since 31 Jul 2023)
- SMF1 Chief Executive (since 31 Jul 2023)
- SMF18 Other Overall Responsibility (17 Mar 2022 to 30 Jun 2023)
- [FCA CF] Significant management (9 Dec 2019 to 27 May 2022)
- [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 27 May 2022)
- [FCA CF] Material risk taker (9 Dec 2019 to 27 May 2022)
- CF29 Significant management (6 Jun 2018 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (20 Oct 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.