Emma Louise Mills

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.

  • Cooper Maverick LLP

    FRN 723906

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Oct 2024)
    • Responsible for Insurance Distribution (since 2 Sep 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Apr 2016 to 8 Dec 2019)
    • CF4 Partner (1 Apr 2016 to 8 Dec 2019)
  • Burgess & Lee Limited (no longer approved here)

    FRN 160493

    • CF30 Customer (20 Oct 2015 to 5 Apr 2016)
  • RADCLIFFE & CO (LIFE & PENSIONS) LIMITED (no longer approved here)

    FRN 125160

    • CF30 Customer (3 Jan 2012 to 13 Jun 2014)
  • Deep Blue Financial Limited (no longer approved here)

    FRN 190203

    • CF30 Customer (26 Mar 2010 to 6 Dec 2011)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (2 Oct 2009 to 10 Mar 2010)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Apr 2008 to 19 Jun 2009)

Recent activity

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

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