Nicholas Barker

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.

  • Leander Capital Partners Limited (no longer approved here)

    FRN 914116

    • SMF17 Money Laundering Reporting Officer (MLRO) (10 Feb 2020 to 5 Oct 2023)
    • SMF16 Compliance Oversight (10 Feb 2020 to 5 Oct 2023)
  • Casteel Capital LLP (no longer approved here)

    FRN 455718

    • SMF16 Compliance Oversight (18 Jan 2020 to 6 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (18 Jan 2020 to 6 Jan 2023)
  • ZEDRA PO Payments Limited (no longer approved here)

    FRN 315313

    • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2023)
    • CF1 Director (14 Mar 2017 to 8 Dec 2019)
  • AlTi Wealth Management (UK) Limited (no longer approved here)

    FRN 541713

    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Jan 2023)
    • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2023)
    • CF10 Compliance Oversight (22 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Feb 2017 to 8 Dec 2019)
    • CF1 Director (22 Feb 2017 to 8 Dec 2019)
  • AlTi RE Limited (no longer approved here)

    FRN 582903

    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Jan 2023)
    • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Jan 2023)
    • CF1 Director (AR) (5 Nov 2018 to 6 Jan 2023)
    • CF30 Customer (25 Jul 2017 to 6 Jan 2023)
    • CF10 Compliance Oversight (18 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jan 2017 to 8 Dec 2019)
    • CF1 Director (4 Oct 2016 to 8 Dec 2019)
  • Alvarium Fund Managers (UK) Limited (no longer approved here)

    FRN 751355

    • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Jan 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 6 Jan 2023)
    • CF30 Customer (25 Jul 2017 to 8 Dec 2019)
    • CF1 Director (8 Feb 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Feb 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (8 Feb 2017 to 8 Dec 2019)
  • AlTi Strategic Advisory (UK) Limited (no longer approved here)

    FRN 824598

    • (21)Employed By (5 Nov 2018 to 6 Jan 2023)

Recent activity

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

  1. controlled function removed: Employed By at AlTi Strategic Advisory (UK) Limited

  2. controlled function added: (21)Employed By at AlTi Strategic Advisory (UK) Limited