Axel Mertens

Watch for changes

Where they hold approval

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

Canadian Imperial Bank of Commerce
FRN 141285
- [FCA CF] Manager of certification employee (since 3 Mar 2023)
- [FCA CF] Material risk taker (since 30 Apr 2019)
- [FCA CF] Client dealing (since 8 Feb 2019)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (22 Feb 2016 to 1 Sep 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (11 Jan 2011 to 30 Jul 2015)
- CF26 Customer Trading (10 May 2007 to 31 Oct 2007)

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.