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.

• Jason Reid

  IRN JXR01731

  • CF30 Customer (30 Apr 2015 to 28 Feb 2019)
• Jorge Diogo Leitao Moereira dos Santos

  IRN JXL00577

  • [FCA CF] Client dealing (since 23 Sep 2022)
• Julita Perelgritz

  IRN JXT01554

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Justin Nicholas Hatch

  IRN JNH01039

  • [FCA CF] Material risk taker (since 1 Jan 2025)
  • [FCA CF] Manager of certification employee (since 23 Sep 2022)
  • [FCA CF] Client dealing (since 13 Dec 2021)
• Ka Fai Siu

  IRN KXS00478

  • [FCA CF] Client dealing (since 23 Sep 2022)
• Keith Allen Guthrie

  IRN KAG01026

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
  • CF1 Director (30 Apr 2015 to 27 Jan 2016)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Kerrin Edward Rosenberg

  IRN KER01010

  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (30 Apr 2015 to 8 Dec 2019)
  • CF3 Chief Executive (30 Apr 2015 to 8 Dec 2019)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)
• Laura Anne Gilbert

  IRN LXG00261

  • [FCA CF] Material risk taker (8 Dec 2022 to 31 Mar 2025)
• Lauren Diana Weaver

  IRN LXW00217

  • [FCA CF] Client dealing (since 21 May 2025)
• Lauren Elizabeth Pulsford

  IRN LEP01035

  • CF30 Customer (11 Aug 2017 to 21 Jun 2018)

• Lincoln Pensions Limited (no longer appointed)

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

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