Roland John Emmans

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Where they hold approval

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

HSBC UK Bank Plc
FRN 765112
- [FCA CF] Manager of certification employee (since 15 Jul 2022)
- [FCA CF] Client dealing (since 12 Sep 2018)
- [FCA CF] Manager of certification employee (22 Aug 2019 to 9 Apr 2021)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (28 Sep 2012 to 6 Mar 2016)
Allied Irish Banks Plc (no longer approved here)
FRN 204793
- CF30 Customer (1 Nov 2007 to 11 Jul 2011)
- CF21 Investment Adviser (25 Feb 2004 to 31 Oct 2007)

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.