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.

  • Siew-Yan Boo

    IRN SXB00406

    • (270)[FCA CF] Significant management (9 Dec 2019 to 24 Sep 2020)
  • Simon Bailey

    IRN SXB00849

    • (1804)[FCA CF] Significant management (11 Feb 2022 to 6 Dec 2022)
  • Simon Beaumont James Wood

    IRN SBW01022

    • (973)[FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2025)
    • (972)CF30 Customer (5 Apr 2018 to 8 Dec 2019)
  • Simon Bell

    IRN SXB01489

    • (704)CF30 Customer (1 Nov 2007 to 20 Jan 2012)
    • (705)CF27 Investment Management (1 Dec 2005 to 31 Oct 2007)
  • Simon Butlin

    IRN SXB77387

    • (1448)[FCA CF] Significant management (30 Mar 2020 to 30 Jun 2023)
    • (1447)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • Simon Clinch

    IRN SAC01108

    • (826)CF27 Investment Management (1 Dec 2001 to 13 May 2005)
  • Simon David Hancock

    IRN SDH01103

    • (718)CF30 Customer (1 Nov 2007 to 22 Oct 2014)
    • (719)CF27 Investment Management (16 Dec 2005 to 31 Oct 2007)
  • Simon Geoffrey Akroyd

    IRN SGA01022

    • (777)CF27 Investment Management (1 Dec 2001 to 31 Dec 2002)
  • Simon James Barnard

    IRN SJB01479

    • (153)CF30 Customer (6 Jul 2009 to 5 Oct 2009)
  • Simon James Wood

    IRN SJW01250

    • (1619)[FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2022)
    • (1620)[FCA CF] Material risk taker (9 Dec 2019 to 21 Feb 2022)
    • (1621)[FCA CF] Manager of certification employee (9 Dec 2019 to 21 Feb 2022)
    • (1618)CF30 Customer (1 Apr 2014 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: (339)SMF18 Other Overall Responsibility

  2. controlled function added: (338)SMF7 Group Entity Senior Manager

  3. controlled function added: (337)SMF18 Other Overall Responsibility

  4. controlled function added: (336)SMF7 Group Entity Senior Manager

  5. controlled function added: (335)[FCA CF] Significant management

  6. controlled function added: (334)[FCA CF] Client dealing

  7. controlled function added: (333)[FCA CF] Client dealing

  8. controlled function added: (332)[FCA CF] CASS oversight function

  9. controlled function added: (331)[FCA CF] Significant management

  10. controlled function added: (330)[FCA CF] Manager of certification employee