Etienne De Merlis

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • Kendar Advisors Ltd

    FRN 841556

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2021)
    • [FCA CF] Client dealing (since 25 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (13 Aug 2019 to 8 Dec 2019)
    • CF1 Director (13 Aug 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 Aug 2019 to 8 Dec 2019)
    • CF3 Chief Executive (13 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (13 Aug 2019 to 8 Dec 2019)
  • ARBION LIMITED (no longer approved here)

    FRN 513138

    • CF30 Customer (6 Mar 2015 to 19 Jun 2017)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.