Mercia Fund Management Limited

• Principal Place of Business

  Forward House

  17 High Street

  Henley-in-Arden

  Warwickshire

  B95 5AA

  UNITED KINGDOM

  Phone

  +443302231430

  Web

  https://www.mercia.co.uk

• Complaints Contact

  Forward House

  17 High Street

  Henley-in-Arden

  Warwickshire

  B95 5AA

  UNITED KINGDOM

  Phone

  +443302231430

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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), Share, 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.

• Authorised to Operate

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, Retail (Investment), Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Private Investment Funds

• Aaron Anthony Lawson-Clark

  IRN AXL00379

  • [FCA CF] Significant management (6 Dec 2021 to 9 Sep 2022)
• Adam Daniel Watts

  IRN AXW00260

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Client dealing (since 1 Jul 2024)
• Adam Lovell

  IRN AXL00685

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
• Alex Gwyther

  IRN AXG00917

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
• Alexandra Reid

  IRN AXR00892

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Client dealing (since 1 Jul 2024)
• Alice Grieve

  IRN AXG00583

  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2022)
• Alison Dwyer

  IRN AXD00930

  • [FCA CF] Significant management (since 1 Jul 2024)
• Andrew John Simpson

  IRN AJS01247

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2022)
• Angela Warner

  IRN AXM02083

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2024)
• Ashwin Kumar Kumaraswamy

  IRN AKK01041

  • [FCA CF] Client dealing (1 Jul 2024 to 1 Apr 2025)
  • [FCA CF] Material risk taker (1 Jul 2024 to 1 Apr 2025)

• Robert James Johnson (no longer appointed)

  FRN 615311 · Appointed 4 Feb 2014 · Until 9 Jun 2014

• Michael Hayes (no longer appointed)

  FRN 606827 · Appointed 4 Sep 2013 · Until 9 Jun 2014

• Andrew Oldfield (no longer appointed)

  FRN 545861 · Appointed 11 Apr 2011 · Until 9 Oct 2013

• John Michael James Strickland (no longer appointed)

  FRN 527960 · Appointed 11 Feb 2011 · Until 17 Oct 2011

No changes recorded yet.