Robert Nigel Baldwin

Last updated
2 weeks ago
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Where they hold approval

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

  • Robert Baldwin

    FRN 578037

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Sole trader dealing with clients for which they require qualification (since 25 Feb 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 May 2023)
    • CF11 Money Laundering Reporting (29 Jan 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Jul 2012 to 8 Dec 2019)
    • CF30 Customer (19 Jul 2012 to 8 Dec 2019)
  • KYMIN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 189815

    • CF30 Customer (16 Feb 2012 to 31 Jul 2012)
  • Hancock Life & Pensions (no longer approved here)

    FRN 200074

    • (7)Employed By (6 Dec 2001 to 7 Dec 2006)

Recent activity

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

No changes recorded yet.