Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Emery (IFA) Limited
FRN 526134
- 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)
- 7. Giving personal recommendations on long-term care insurance contracts
- 14. Managing investments
- [FCA CF] Client dealing (since 9 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] Significant management (9 Dec 2020 to 23 Nov 2023)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jul 2023)
- SMF3 Executive Director (9 Dec 2019 to 22 Nov 2023)
- SMF16 Compliance Oversight (9 Dec 2019 to 7 Jul 2023)
- Responsible for Insurance Distribution (1 Oct 2018 to 22 Nov 2023)
- Responsibility for MCD Intermediation (12 May 2016 to 22 Nov 2023)
- CF1 Director (6 Oct 2010 to 8 Dec 2019)
- Responsible for Insurance Mediation (6 Oct 2010 to 30 Sep 2018)
- CF11 Money Laundering Reporting (6 Oct 2010 to 8 Dec 2019)
- CF10 Compliance Oversight (6 Oct 2010 to 8 Dec 2019)
- CF30 Customer (6 Oct 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.