Waterside Wealth Management Limited

• Principal Place of Business

  4 Taplow Quays

  River Road

  Taplow

  Maidenhead

  Berks

  SL6 0AB

  UNITED KINGDOM

  Phone

  +4401628625305

  Web

  https://www.watersidewealth.co.uk

• Complaints Contact

  4 Taplow Quays

  River Road

  Taplow

  Maidenhead

  Berks

  SL6 0AB

  UNITED KINGDOM

  Phone

  +4401628625305

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: * pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate) * defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mark Emile Alghita

  IRN MEA00001

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Mar 2009)
  • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Oct 2006 to 8 Dec 2019)
  • CF1 Director (2 Oct 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
• Peter Colin Riches

  IRN PCR01034

  • [FCA CF] Client dealing (4 Feb 2021 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (4 Feb 2021 to 31 Dec 2023)
• Stuart Peter Logan

  IRN SPL01091

  • CF30 Customer (5 Sep 2013 to 1 May 2014)

No changes recorded yet.