Benjamin Lawson Mercer

Watch for changes

Where they hold approval

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

TFS Derivatives Limited
FRN 197244
- [FCA CF] Client dealing (since 1 Jul 2020)
Prism Financial Products LLP (no longer approved here)
FRN 607481
- SMF27 Partner (9 Dec 2019 to 23 Jan 2020)
- CF4 Partner (11 Oct 2017 to 8 Dec 2019)
- CF30 Customer (3 Aug 2017 to 7 Apr 2020)
Prism Financial Products LP (no longer approved here)
FRN 782608
- (8)Employed By (10 Aug 2017 to 7 Apr 2020)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (8 Jul 2013 to 18 Jul 2014)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF30 Customer (24 Nov 2008 to 5 Apr 2013)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (6 Sep 2002 to 25 Jun 2004)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (6 Sep 2002 to 25 Jun 2004)

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.