WAYNE CHARLES Baker

Watch for changes

Where they hold approval

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

TP ICAP Broking Limited
FRN 154234
- [FCA CF] Client dealing (since 3 Jan 2023)
Bank of Montreal (no longer approved here)
FRN 124788
- [FCA CF] Client dealing (1 Feb 2018 to 11 Feb 2020)
RBC Europe Limited (no longer approved here)
FRN 124543
- CF26 Customer Trading (1 Dec 2001 to 17 Nov 2004)
Royal Bank of Canada (no longer approved here)
FRN 124783
- CF26 Customer Trading (1 Dec 2001 to 17 Nov 2004)

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.