Samantha Jayne Baker

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Where they hold approval

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

REGENTIA LIFESTYLE PLANNING LTD
FRN 413890
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsibility for MCD Intermediation (since 18 Nov 2022)
- Responsible for Insurance Distribution (since 18 Nov 2022)
- SMF16 Compliance Oversight (since 18 Nov 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Nov 2022)
- SMF3 Executive Director (since 28 Jun 2022)
- [FCA CF] Functions requiring qualifications (since 21 Jan 2020)
- [FCA CF] Client dealing (since 21 Jan 2020)
AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- CF30 Customer (4 Feb 2019 to 8 Dec 2019)

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.