Scott Alexander Baikie

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.

  • Rossie House Investment Management LLP

    FRN 793399

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
    • CF4 Partner (11 Jun 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (26 Jul 2018 to 8 Dec 2019)
  • CG Wealth Planning Limited (no longer approved here)

    FRN 594155

    • CF30 Customer (1 Dec 2014 to 30 Sep 2016)
  • Thomas Miller Investment Ltd. (no longer approved here)

    FRN 189829

    • CF30 Customer (20 Oct 2014 to 30 Sep 2016)

Recent activity

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

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