James Edward Roger Ferris

Last updated
1 week ago
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Where they hold approval

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

  • ELG Asset Management Limited

    FRN 656426

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (1 Apr 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • CF1 Director (AR) (14 Sep 2010 to 31 Mar 2015)
    • CF30 Customer (1 Sep 2010 to 31 Mar 2015)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF30 Customer (1 Nov 2007 to 30 Mar 2009)
    • CF21 Investment Adviser (8 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Aug 2005 to 8 Dec 2005)

Recent activity

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

No changes recorded yet.