Maurice Seymour Emanuel

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.

  • M. Emanuel

    FRN 104219

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [PRA CF] Key function holder (since 9 Dec 2020)
    • [FCA CF] CASS oversight function (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Significant management (since 9 Dec 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (8 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Jul 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

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