London Mercantile Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

Aderemi Bola
IRN AXB01471
- CF11 Money Laundering Reporting (15 Nov 2016 to 27 Jul 2018)
- CF30 Customer (15 Nov 2016 to 27 Jul 2018)
- CF1 Director (15 Nov 2016 to 27 Jul 2018)
Anand Patel
IRN AXP02882
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF10 Compliance Oversight (15 Nov 2016 to 8 Dec 2019)
Esther Serwanga
IRN EXS00289
- SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jun 2023)
Govind Srivastava
IRN GXS02544
- 8. Giving personal recommendations on investments in the course of corporate finance business
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (15 Nov 2016 to 8 Dec 2019)
- CF1 Director (15 Nov 2016 to 8 Dec 2019)
Sindhu Ratna Kul Bhaskar
IRN SXB32901
- SMF3 Executive Director (1 Jun 2020 to 8 Jun 2022)
- [FCA CF] Functions requiring qualifications (1 Jun 2020 to 8 Jun 2022)
- [FCA CF] Client dealing (1 Jun 2020 to 8 Jun 2022)

Updates to this firm'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. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.