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.

  • Sophie Underwood

    IRN SXU00002

    • (1422)[FCA CF] Significant management (9 Dec 2019 to 17 Jul 2023)
    • (1421)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • Stanley Dejak

    IRN SXD01170

    • (226)CF27 Investment Management (1 Dec 2001 to 31 Jan 2002)
  • Stanley Douglas Pearson

    IRN SDP01090

    • (932)[FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2019)
    • (933)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2019)
    • (934)[FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2019)
    • (935)[FCA CF] Significant management (9 Dec 2019 to 31 Dec 2019)
    • (931)CF30 Customer (5 Apr 2018 to 8 Dec 2019)
  • Stella Panu

    IRN SXP01314

    • (816)CF30 Customer (1 Nov 2007 to 31 May 2009)
    • (817)CF27 Investment Management (18 Oct 2005 to 31 Oct 2007)
  • Stella Paterson

    IRN SXP01320

    • (466)CF11 Money Laundering Reporting (8 Jan 2002 to 21 Jan 2004)
  • Stephanie Claire Butcher

    IRN SCG01026

    • (1981)CF27 Investment Management (1 Dec 2001 to 2 Jun 2003)
    • (1982)CF1 Director (1 Dec 2001 to 1 Dec 2001)
  • Stephanie Jane Bruce

    IRN SJB01716

    • (2167)SMF7 Group Entity Senior Manager (12 Feb 2020 to 10 May 2023)
    • (2168)CF28 Systems and controls (8 May 2019 to 8 Dec 2019)
  • Stephanie Wan Ching Lee

    IRN SWL01041

    • (462)CF27 Investment Management (30 Dec 2003 to 10 Jun 2005)
  • Stephen Antony Laurence Coltman

    IRN SXC01470

    • (1214)[FCA CF] Client dealing (9 Dec 2019 to 8 Jan 2026)
    • (1213)CF30 Customer (1 Mar 2016 to 8 Dec 2019)
  • Stephen Bird

    IRN SXB87538

    • (1765)SMF7 Group Entity Senior Manager (28 Aug 2020 to 24 May 2024)

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: (349)SMF24 Chief Operations

  2. controlled function added: (348)SMF17 Money Laundering Reporting Officer (MLRO)

  3. controlled function added: (347)SMF2 Chief Finance

  4. controlled function added: (346)SMF3 Executive Director

  5. controlled function added: (345)[FCA CF] Significant management

  6. controlled function added: (344)[FCA CF] Manager of certification employee

  7. controlled function added: (343)[FCA CF] Material risk taker

  8. controlled function added: (342)[FCA CF] Client dealing

  9. controlled function added: (341)SMF7 Group Entity Senior Manager

  10. controlled function added: (340)[FCA CF] Material risk taker