Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
280 BishopsgateLondonEC2M 4AGUNITED KINGDOM- Phone
- +4402074636000
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Complaints Contact
1 George StreetEdinburghMidlothianEH2 2LLUNITED KINGDOM- Phone
- +4401313729444
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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P2P Lending Advice
For Professional, Eligible Counterparty
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Investment Advice (no pensions)
For Commercial, Professional, Eligible Counterparty, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 2 limitations Hide 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.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Commercial, Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 2 limitations Hide 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.
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Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 1 limitation Hide limitations
- · 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.
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Insurance Admin
For Commercial, Non-investment insurance contracts, Life Policy
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Stockbroking
For Commercial, Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 2 limitations Hide 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.
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Investment Setup
For Commercial, Retail (Investment), Professional, Eligible Counterparty, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 2 limitations Hide 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.
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Manages Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Alternative Debenture
Show 2 limitations Hide 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.
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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)
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Stanley Dejak
IRN SXD01170
- (226)CF27 Investment Management (1 Dec 2001 to 31 Jan 2002)
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Stanley Douglas Pearson
IRN SDP01090
- (935)[FCA CF] Significant management (9 Dec 2019 to 31 Dec 2019)
- (934)[FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2019)
- (933)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2019)
- (932)[FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2019)
- (931)CF30 Customer (5 Apr 2018 to 8 Dec 2019)
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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)
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Stella Paterson
IRN SXP01320
- (466)CF11 Money Laundering Reporting (8 Jan 2002 to 21 Jan 2004)
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Stephanie Claire Butcher
IRN SCG01026
- (1982)CF1 Director (1 Dec 2001 to 1 Dec 2001)
- (1981)CF27 Investment Management (1 Dec 2001 to 2 Jun 2003)
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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)
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Stephanie Wan Ching Lee
IRN SWL01041
- (462)CF27 Investment Management (30 Dec 2003 to 10 Jun 2005)
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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)
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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.
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Abtrust Pointon Pension Fund Managers Limited (no longer appointed)
FRN 205620 · Appointed 24 Apr 1996 · Until 20 Aug 2002
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (9)[FCA CF] Client dealing
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controlled function added: (8)[FCA CF] Client dealing
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controlled function added: (7)[FCA CF] Client dealing
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controlled function added: (6)[FCA CF] Manager of certification employee
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controlled function added: (5)[FCA CF] Client dealing
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controlled function added: (4)[FCA CF] Manager of certification employee
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controlled function added: (3)[FCA CF] Client dealing
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controlled function added: (2)[FCA CF] Client dealing
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controlled function added: (1)[FCA CF] Client dealing
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controlled function added: (2168)CF28 Systems and controls