John Mark Wakeling

Last updated
2 weeks ago
Watch for changes

Where they hold approval

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

  • J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

    FRN 513644

    • (32)4. Giving personal recommendations on retail investment products which are not broker funds
    • (30)7. Giving personal recommendations on long-term care insurance contracts
    • (31)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (27)[FCA CF] Client dealing (8 Dec 2020 to 31 Mar 2026)
    • (29)[FCA CF] Functions requiring qualifications (8 Dec 2020 to 31 Mar 2026)
    • (22)SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2026)
    • (21)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2026)
    • (23)SMF3 Executive Director (9 Dec 2019 to 30 Jun 2025)
    • (19)Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2026)
    • (25)CF11 Money Laundering Reporting (5 Feb 2010 to 8 Dec 2019)
    • (20)Responsible for Insurance Mediation (5 Feb 2010 to 30 Sep 2018)
    • (24)CF30 Customer (5 Feb 2010 to 8 Dec 2019)
    • (26)CF10 Compliance Oversight (5 Feb 2010 to 8 Dec 2019)
    • (28)CF1 Director (5 Feb 2010 to 8 Dec 2019)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • CF30 Customer (8 May 2013 to 31 Dec 2016)
  • J M Wakeling (3065) (no longer approved here)

    FRN 194474

    • (1)Employed By (1 Dec 2001 to 15 Sep 2005)

Recent activity

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

  1. controlled function removed: Responsible for Insurance Distribution at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  2. controlled function removed: SMF16 Compliance Oversight at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  3. controlled function removed: [FCA CF] Client dealing at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  4. controlled function removed: [FCA CF] Functions requiring qualifications at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  5. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO) at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  6. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  7. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  8. controlled function removed: 7. Giving personal recommendations on long-term care insurance contracts at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  9. controlled function added: (19)Responsible for Insurance Distribution at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  10. controlled function added: (20)Responsible for Insurance Mediation at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

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