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.

  • Sean Phayre

    IRN SRP01037

    • (319)[FCA CF] Client dealing (since 9 Dec 2019)
    • (320)[FCA CF] Material risk taker (since 9 Dec 2019)
    • (321)[FCA CF] Manager of certification employee (since 9 Dec 2019)
    • (322)[FCA CF] Significant management (since 9 Dec 2019)
    • (760)CF30 Customer (1 Apr 2014 to 8 Dec 2019)
    • (761)CF27 Investment Management (3 Feb 2004 to 18 Nov 2005)
  • Sek Ern Esther Chan

    IRN ESC01023

    • (399)CF30 Customer (1 Nov 2007 to 27 May 2014)
    • (400)CF27 Investment Management (28 Feb 2006 to 31 Oct 2007)
  • Shailena Moledina

    IRN SXM01457

    • (743)CF30 Customer (1 Nov 2007 to 25 Aug 2008)
    • (744)CF27 Investment Management (1 Dec 2005 to 31 Oct 2007)
  • Shanshan Zhang

    IRN SXZ01113

    • (455)CF30 Customer (1 Apr 2014 to 12 Jul 2019)
  • Shaylen Padayachee

    IRN SXP02051

    • (165)CF30 Customer (4 Apr 2018 to 31 May 2019)
  • Sheena Isobelle Yellop

    IRN SIY01002

    • (54)CF30 Customer (1 Nov 2007 to 3 Nov 2015)
    • (56)CF1 Director (1 Dec 2001 to 1 Dec 2001)
    • (55)CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Shelley Morrison

    IRN SXM00518

    • (196)[FCA CF] Manager of certification employee (since 11 Mar 2025)
    • (195)[FCA CF] Client dealing (since 30 Mar 2020)
    • (1796)[FCA CF] Manager of certification employee (1 Apr 2022 to 1 Jan 2024)
    • (1795)[FCA CF] Material risk taker (11 Oct 2021 to 31 Dec 2022)
  • Shezad Lakha

    IRN SXL01639

    • (1494)[FCA CF] Client dealing (18 Feb 2021 to 1 Sep 2023)
  • Shota Iijima

    IRN SXI01139

    • (12)CF30 Customer (24 Jul 2009 to 23 Sep 2011)
  • Siddharth Dahiya

    IRN SXD01960

    • (153)[FCA CF] Client dealing (since 9 Dec 2019)
    • (154)[FCA CF] Manager of certification employee (since 9 Dec 2019)
    • (1265)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • (1264)CF30 Customer (5 Aug 2013 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