Michael Baber

Watch for changes

Where they hold approval

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

Hartley Pensions Limited (no longer approved here)
FRN 735936
- SMF3 Executive Director (9 Dec 2019 to 26 Oct 2021)
- CF1 Director (2 Aug 2017 to 8 Dec 2019)
JAMES & ASSOCIATES FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 408280
- CF30 Customer (26 May 2010 to 29 Jun 2012)
NATIONAL FARMERS UNION MUTUAL INSURANCE SOCIETY LIMITED(THE) (no longer approved here)
FRN 117664
- CF30 Customer (23 Jan 2008 to 24 Apr 2010)

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.