Stephen Baxter

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Where they hold approval

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

Cow Corner Investing Ltd
FRN 952833
- [FCA CF] Client dealing (since 16 Mar 2022)
- SMF3 Executive Director (since 15 Mar 2022)
Frank Investments Limited (no longer approved here)
FRN 627697
- CF30 Customer (20 Nov 2020 to 14 Mar 2022)
- CF1 Director (AR) (20 Nov 2020 to 14 Mar 2022)
Cow Corner Investing Ltd (no longer approved here)
FRN 937744
- Employed By (20 Nov 2020 to 14 Mar 2022)
PEMBROKE FINANCIAL SERVICES LIMITED (no longer approved here)
FRN 228341
- SMF3 Executive Director (18 Feb 2020 to 1 Aug 2023)
- SMF9 Chair of the Governing Body (18 Feb 2020 to 18 Aug 2023)

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.