Date authorised
1 April 2013
Companies House
SC108419
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    280 Bishopsgate
    London
    EC2M 4AG
    UNITED KINGDOM
    Phone
    +4402074636000
  • Complaints Contact

    1 George Street
    Edinburgh
    Midlothian
    EH2 2LL
    UNITED KINGDOM
    Phone
    +4401313729444

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Commercial, Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Insurance Admin

    For Commercial, Life Policy, Non-investment insurance contracts

  • Stockbroking

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ross Watson

    IRN JRW01096

    • (426)CF1 Director (1 Dec 2001 to 11 Dec 2001)
    • (425)CF27 Investment Management (1 Dec 2001 to 11 Mar 2005)
  • Ruairidh Finlayson

    IRN RXF09660

    • (1900)[FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2025)
    • (1901)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • (1899)CF30 Customer (20 Dec 2018 to 8 Dec 2019)
  • Runa Begum

    IRN RXB15324

    • (2141)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jun 2022)
    • (2142)CF11 Money Laundering Reporting (2 Aug 2019 to 8 Dec 2019)
  • Rupert Charles Howard

    IRN RCH01054

    • (687)CF27 Investment Management (1 Dec 2001 to 23 Sep 2002)
  • Rupert James Della-Porta

    IRN RJD01077

    • (2107)CF27 Investment Management (1 Dec 2001 to 23 Sep 2002)
    • (2108)CF1 Director (1 Dec 2001 to 1 Dec 2001)
  • Rushad Abadan

    IRN RXA77290

    • (188)[FCA CF] Material risk taker (since 9 Dec 2019)
    • (190)[FCA CF] Significant management (since 9 Dec 2019)
    • (189)[FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Russell Andrew Chaplin

    IRN RAC01292

    • (633)Responsible for Insurance Mediation (1 May 2014 to 31 Dec 2017)
    • (634)CF1 Director (1 May 2014 to 31 Dec 2017)
  • Russell Frank Clements

    IRN RFC01051

    • (1610)[FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2024)
    • (1608)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1609)CF26 Customer Trading (30 May 2006 to 31 Oct 2007)
  • Russell Hall

    IRN RXH02266

    • (1596)[FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2021)
    • (1595)CF30 Customer (5 May 2017 to 8 Dec 2019)
  • Russell Hunter

    IRN RXH00231

    • (316)[FCA CF] Client dealing (since 19 Feb 2021)
    • (1153)[FCA CF] Material risk taker (19 Feb 2021 to 31 Dec 2022)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

  1. controlled function added: (359)SMF7 Group Entity Senior Manager

  2. controlled function added: (358)SMF7 Group Entity Senior Manager

  3. controlled function added: (357)SMF4 Chief Risk

  4. controlled function added: (356)SMF3 Executive Director

  5. controlled function added: (355)SMF7 Group Entity Senior Manager

  6. controlled function added: (354)SMF1 Chief Executive

  7. controlled function added: (353)SMF3 Executive Director

  8. controlled function added: (352)SMF7 Group Entity Senior Manager

  9. controlled function added: (351)[FCA CF] Material risk taker

  10. controlled function added: (350)SMF3 Executive Director