Adam Merrick

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Maybank Securities (London) Limited
FRN 144846
- SMF16 Compliance Oversight (since 5 Nov 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Nov 2024)
RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- [FCA CF] Significant management (1 Jan 2022 to 30 Aug 2024)
OTC Europe LLP (no longer approved here)
FRN 507219
- CF10 Compliance Oversight (25 Apr 2017 to 29 Mar 2019)
- CF11 Money Laundering Reporting (25 Apr 2017 to 29 Mar 2019)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.