Emma Broughton

Last updated
3 weeks ago
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Where they hold approval

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

  • Australia and New Zealand Banking Group Ltd

    FRN 114151

    • [FCA CF] Manager of certification employee (since 7 Jan 2026)
    • [PRA CF] Significant risk taker or Material risk taker (since 25 Aug 2021)
    • [FCA CF] Material risk taker (since 25 Aug 2021)
    • [FCA CF] Significant management (since 17 Aug 2020)
    • [FCA CF] Client dealing (17 Aug 2020 to 18 Aug 2020)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Manager of certification employee (27 Sep 2018 to 21 Jan 2019)
    • [FCA CF] Client dealing (7 Sep 2016 to 21 Jan 2019)

Recent activity

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

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