Feroz Farrokh Merchant

Last updated
5 days ago
Watch for changes

Where they hold approval

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

  • Azimuth Financial (Oxford) Limited

    FRN 958141

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
    • Responsibility for MCD Intermediation (since 11 Oct 2021)
    • Responsible for Insurance Distribution (since 11 Oct 2021)
    • SMF16 Compliance Oversight (since 11 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Oct 2021)
    • SMF3 Executive Director (since 11 Oct 2021)
    • [FCA CF] Client dealing (since 11 Oct 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Jul 2021)
    • CF1 Director (AR) (2 Aug 2016 to 19 Jul 2021)
    • CF30 Customer (2 Oct 2015 to 19 Jul 2021)
  • Azimuth Wealth Ltd (no longer approved here)

    FRN 716809

    • Employed By (2 Oct 2015 to 19 Jul 2021)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (30 Sep 2014 to 2 Jun 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Dec 2009 to 30 Sep 2012)

Recent activity

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

No changes recorded yet.