MERCER RISK MANAGEMENT LIMITED

• Principal Place of Business

  1 Tower Place West

  Tower Place

  London

  City Of London

  EC3R 5BU

  UNITED KINGDOM

  Phone

  +442076266000

  Web

  https://www.mercer.com/en-gb/

• Complaints Contact

  1 Tower Place West

  Tower Place

  London

  EC3R 5BU

  UNITED KINGDOM

  Phone

  +442076266000

• P2P Lending Advice

  For Professional

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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 Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• David Peter West

  IRN DPW01095

  • CF1 Director (30 Apr 2015 to 18 Aug 2017)
• Dawn Ellen Elizabeth Thirley

  IRN DXT00128

  • [FCA CF] Material risk taker (15 Dec 2020 to 31 Dec 2025)
• Devdutt Jadeja

  IRN DXJ01354

  • CF30 Customer (4 Sep 2018 to 8 Dec 2019)
• Duncan Jones

  IRN JXD02044

  • CF30 Customer (10 Oct 2016 to 31 Jul 2017)
• Duncan Robert Higgs

  IRN DRH01159

  • CF30 Customer (30 Apr 2015 to 31 Jul 2015)
• Emma Kate Matthews

  IRN EKM01013

  • [FCA CF] Client dealing (25 Mar 2021 to 11 Mar 2022)
• Emma Louise Fairgrieve Adair

  IRN ELA01014

  • CF30 Customer (30 Apr 2015 to 17 Nov 2017)
• Emma Sarah Corvesor

  IRN EXP01333

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Jun 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Jun 2023)
  • CF30 Customer (12 Aug 2017 to 8 Dec 2019)
• Emmad Chinoy

  IRN EXC00203

  • [FCA CF] Client dealing (5 Mar 2025 to 31 Dec 2025)
• Freddy Roddenhof

  IRN FXR00028

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2020)

• Lincoln Pensions Limited (no longer appointed)

  FRN 767683 · Appointed 19 Dec 2016 · Until 9 Jan 2019 · Tied agent

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