Emma Kate Griffin

Watch for changes

Where they hold approval

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

N. M. ROTHSCHILD & SONS LIMITED
FRN 124451
- SMF3 Executive Director (since 13 Jan 2026)
- [FCA CF] Client dealing (since 1 Jan 2026)
- [FCA CF] Material risk taker (since 5 Feb 2024)
- Director of firm who is not a certification employee or a SMF manager (22 May 2023 to 1 Jan 2026)
ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)
FRN 122472
- SMF7 Group Entity Senior Manager (21 Dec 2023 to 13 May 2025)
- SMF9 Chair of the Governing Body (4 Feb 2020 to 21 Dec 2023)
ST. JAMES'S PLACE UK PLC (no longer approved here)
FRN 150026
- SMF7 Group Entity Senior Manager (21 Dec 2023 to 13 May 2025)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- SMF7 Group Entity Senior Manager (21 Dec 2023 to 13 May 2025)
ST. JAMES'S PLACE INVESTMENT ADMINISTRATION LIMITED (no longer approved here)
FRN 622916
- SMF7 Group Entity Senior Manager (21 Dec 2023 to 13 May 2025)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.