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

• Paul Antony David Mattick

  IRN PAM01260

  • [FCA CF] Manager of certification employee (since 2 Jun 2025)
  • [FCA CF] Client dealing (since 2 Jun 2025)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • SMF3 Executive Director (since 25 Sep 2021)
• Paul Daffern

  IRN PXD01390

  • CF1 Director (4 Jan 2011 to 1 Jun 2011)
  • CF28 Systems and controls (4 Jan 2011 to 1 Jun 2011)
• Peter Michael Dines

  IRN PMD01176

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Material risk taker (1 Jul 2024 to 30 Sep 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2022)
  • CF1 Director (20 Dec 2016 to 8 Dec 2019)
  • CF30 Customer (8 Jul 2016 to 8 Dec 2019)
• Raymond Kenneth Chamberlain

  IRN RKC01014

  • CF2 Non Executive Director (7 Sep 2012 to 30 Nov 2016)
• Rosemary June Bhattacharjee

  IRN RJB01491

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jun 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Nov 2023)
  • CF10a CASS Oversight function (23 May 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Apr 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Apr 2017 to 8 Dec 2019)
• Russell Fryer

  IRN RXF00395

  • [FCA CF] Client dealing (since 1 Oct 2025)
• Sanjoy Ghosh

  IRN SXG01961

  • SMF16 Compliance Oversight (since 20 Mar 2026)
  • [FCA CF] Material risk taker (since 12 Mar 2026)
• Sarah Williams

  IRN SXW00915

  • [FCA CF] Client dealing (since 1 Jul 2024)
  • [FCA CF] Significant management (since 1 Jul 2024)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
• Stephen Johnson

  IRN SXJ00505

  • [FCA CF] Significant management (since 4 Sep 2025)
  • [FCA CF] Material risk taker (since 1 Jul 2024)
  • [FCA CF] Manager of certification employee (since 1 Jul 2024)
  • [FCA CF] Client dealing (since 1 Jul 2024)
• Stephen Martin Windsor

  IRN SXW00907

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

• 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.