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.

• Nicholas Cousins

  IRN NXC00253

  • [FCA CF] Client dealing (17 Mar 2022 to 31 Dec 2025)
• Nillani Jeyapalan

  IRN NXJ00210

  • [FCA CF] Client dealing (since 2 Jul 2025)
• Paras Prabhulal Shah

  IRN PPS01038

  • [FCA CF] Material risk taker (since 1 Jan 2025)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Nov 2015 to 8 Dec 2019)
• Patrick Colby Cunningham

  IRN PCC01057

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (27 Oct 2015 to 8 Dec 2019)
• Patrick Oliver Luthi

  IRN POL01002

  • CF1 Director (29 Feb 2016 to 11 Jul 2019)
• Philip Page

  IRN PXP01181

  • CF30 Customer (30 Apr 2015 to 17 Dec 2015)
• Rachael Adele Savage

  IRN RAS01281

  • [FCA CF] Client dealing (23 Jun 2023 to 31 Dec 2025)
• Ralph Jonathan Frank

  IRN RJF01100

  • CF30 Customer (7 Sep 2016 to 8 Dec 2019)
• Ralph Paul Cox

  IRN RXC02105

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (30 Apr 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Apr 2015 to 8 Dec 2019)
• Richard James Dowell

  IRN RXD01225

  • [FCA CF] Significant management (since 12 Dec 2025)
  • [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 28 Feb 2020)
  • CF1 Director (30 Apr 2015 to 27 Jan 2016)
  • CF30 Customer (30 Apr 2015 to 8 Dec 2019)

• Lincoln Pensions Limited (no longer appointed)

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

No changes recorded yet.