Mark Andrew Wareham

Last updated
1 week ago
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Where they hold approval

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

  • Independent Financial Advice Bureau (Watford) LLP

    FRN 652973

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (2 Feb 2015 to 8 Dec 2019)
    • CF4 Partner (2 Feb 2015 to 8 Dec 2019)
  • Financial Advice Bureau (no longer approved here)

    FRN 193271

    • (3)Employed By (26 Oct 1999 to 5 May 2015)

Recent activity

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

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