Timothy James Waters

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.

  • Sage Roxborough Limited

    FRN 718005

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF10 Compliance Oversight (7 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (7 Jul 2016 to 8 Dec 2019)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF30 Customer (7 Aug 2012 to 6 Jul 2016)

Recent activity

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

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