Clive Emerick

Last updated
6 days ago
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Where they hold approval

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

  • Emericks Financial Services Limited

    FRN 936711

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Jan 2021)
    • SMF3 Executive Director (since 6 Jan 2021)
    • [FCA CF] Client dealing (since 6 Jan 2021)
    • Responsibility for MCD Intermediation (since 6 Jan 2021)
    • Responsible for Insurance Distribution (since 6 Jan 2021)
    • SMF16 Compliance Oversight (since 6 Jan 2021)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (20 Feb 2009 to 8 Dec 2019)
  • Chantry Associates Limited (no longer approved here)

    FRN 213741

    • Employed By (2 Aug 2007 to 23 Feb 2009)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2006)

Recent activity

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

No changes recorded yet.