James Christopher Waugh

Watch for changes

Where they hold approval

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

Carey and Johnston (no longer approved here)
FRN 126015
- CF30 Customer (14 Jun 2018 to 8 Dec 2019)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (3 Aug 2017 to 2 May 2018)
ARDU Ltd (no longer approved here)
FRN 726952
- (1)Employed By (3 Aug 2017 to 2 May 2018)
Santander UK Plc (no longer approved here)
FRN 106054
- CF30 Customer (8 Oct 2014 to 28 Feb 2015)

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

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.