Ralph Peter Baber

Last updated
3 weeks ago
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Where they hold approval

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

  • SLATER INVESTMENTS LIMITED

    FRN 165999

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF10a CASS Oversight function (16 Jan 2018 to 31 Oct 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (11 Aug 2006 to 31 Oct 2007)
    • CF1 Director (27 Jul 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Mar 2004 to 8 Dec 2019)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
    • CF2 Non Executive Director (1 Dec 2001 to 27 Jul 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Union Investment Management Limited (no longer approved here)

    FRN 178723

    • CF1 Director (AR) (20 Feb 2009 to 31 Jul 2009)
    • CF30 Customer (1 Nov 2007 to 1 Apr 2010)
    • CF10 Compliance Oversight (19 Dec 2001 to 1 Apr 2010)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Apr 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CAL Investments Limited (no longer approved here)

    FRN 114008

    • CF2 Non Executive Director (1 Dec 2001 to 23 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Dec 2006)
    • CF27 Investment Management (1 Dec 2001 to 15 Dec 2006)
    • CF1 Director (1 Dec 2001 to 23 Dec 2004)

Recent activity

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

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