Wolfgang-Andreas Bauer

Watch for changes

Where they hold approval

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

Royal London Asset Management Limited
FRN 141665
- [FCA CF] Material risk taker (since 1 Jan 2026)
- [FCA CF] Client dealing (since 1 Aug 2025)
M & G Securities Limited (no longer approved here)
FRN 122057
- [FCA CF] Material risk taker (2 Feb 2023 to 22 Mar 2024)
M&G Investment Management Limited (no longer approved here)
FRN 119328
- [FCA CF] Client dealing (8 Jul 2020 to 3 Jun 2025)
- [FCA CF] Material risk taker (8 Jul 2020 to 22 Mar 2024)
- CF30 Customer (30 Oct 2014 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.