Emma Katherine McClintock

Last updated
2 weeks ago
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Where they hold approval

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

  • Imperial Capital (International) LLP (no longer approved here)

    FRN 581374

    • SMF16 Compliance Oversight (9 Dec 2019 to 21 Jan 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jan 2022)
    • CF11 Money Laundering Reporting (12 Oct 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (12 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (8 Feb 2016 to 8 Dec 2019)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (14 Nov 2007 to 21 Sep 2015)
  • BB SECURITIES LIMITED (no longer approved here)

    FRN 170479

    • CF27 Investment Management (1 Dec 2001 to 9 Jun 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 9 Jun 2006)

Recent activity

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

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