John Christopher Waldie

Last updated
2 weeks ago
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Where they hold approval

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

  • AFWM Limited

    FRN 607283

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Oct 2020)
    • [FCA CF] Client dealing (since 9 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (16 Dec 2013 to 28 Oct 2015)
    • CF1 Director (16 Dec 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Dec 2013 to 28 Oct 2015)
    • CF30 Customer (16 Dec 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (16 Dec 2013 to 30 Sep 2018)
  • Evans Falco LLP (no longer approved here)

    FRN 527253

    • CF1 Director (AR) (2 Feb 2011 to 15 Dec 2013)
    • CF30 Customer (2 Feb 2011 to 15 Dec 2013)
  • AFWM Limited (no longer approved here)

    FRN 540553

    • Employed By (2 Feb 2011 to 15 Dec 2013)

Recent activity

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

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