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.

  • Russell Matthew Ellis Barlow

    IRN RMB01234

    • (1232)[FCA CF] Significant management (9 Dec 2019 to 4 Jan 2025)
    • (1229)[FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2025)
    • (1230)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • (1231)[FCA CF] Manager of certification employee (9 Dec 2019 to 4 Jan 2025)
    • (1228)CF30 Customer (28 Jan 2011 to 8 Dec 2019)
  • Russell Reginald Beer

    IRN RRB01032

    • (1612)[FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2025)
    • (1611)CF30 Customer (6 Jul 2009 to 8 Dec 2019)
  • Ryan Scott Bevington

    IRN RSB01122

    • (2053)CF30 Customer (1 Nov 2007 to 31 May 2009)
    • (2054)CF27 Investment Management (26 Feb 2007 to 31 Oct 2007)
  • Sam James Watkinson

    IRN SJW01194

    • (522)CF27 Investment Management (1 Dec 2001 to 29 Apr 2005)
  • Samantha Fitzpatrick

    IRN SXF01329

    • (299)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1670)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • (1668)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1669)CF27 Investment Management (18 Aug 2005 to 31 Oct 2007)
  • Samantha Jane Donaldson

    IRN SXW87606

    • (1427)[FCA CF] Significant management (9 Dec 2019 to 24 Aug 2022)
  • Samantha Lamb

    IRN SXL01379

    • (1041)[FCA CF] Significant management (9 Dec 2019 to 20 Dec 2020)
    • (1040)[FCA CF] Manager of certification employee (9 Dec 2019 to 20 Dec 2020)
    • (1039)[FCA CF] Material risk taker (9 Dec 2019 to 20 Dec 2020)
    • (1038)[FCA CF] Client dealing (9 Dec 2019 to 20 Dec 2020)
    • (1037)CF30 Customer (4 Apr 2018 to 8 Dec 2019)
  • Samantha Mary Brownlee

    IRN SMB01284

    • (1649)[FCA CF] Client dealing (18 Dec 2020 to 30 Nov 2022)
    • (1650)[FCA CF] Material risk taker (18 Dec 2020 to 30 Nov 2022)
    • (1648)CF30 Customer (29 Sep 2011 to 29 Aug 2014)
  • Sameer Amin

    IRN MSA01125

    • (200)[FCA CF] Significant management (since 1 Jan 2024)
    • (199)[FCA CF] Manager of certification employee (since 9 Dec 2019)
    • (198)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1372)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • (1371)CF30 Customer (24 Jun 2015 to 8 Dec 2019)
  • Samir Rasik Shah

    IRN SXS01419

    • (1505)[FCA CF] Client dealing (9 Dec 2019 to 30 Dec 2020)
    • (1504)CF30 Customer (1 Apr 2016 to 8 Dec 2019)

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