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.

  • Will Lynch

    IRN WXL00045

    • (1144)SMF18 Other Overall Responsibility (17 Jul 2023 to 12 Dec 2025)
    • (1145)[FCA CF] Material risk taker (1 Jan 2023 to 17 Jul 2023)
    • (1146)[FCA CF] Significant management (27 May 2021 to 17 Jul 2023)
  • William Drummond

    IRN WXD00082

    • (123)[FCA CF] Significant management (since 1 Jan 2024)
    • (122)[FCA CF] Material risk taker (since 19 Oct 2023)
  • William Fulton

    IRN WXF00031

    • (1540)[FCA CF] Client dealing (9 Dec 2019 to 20 Dec 2024)
    • (1541)[FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
  • William Gilmore

    IRN WXG01014

    • (652)CF30 Customer (4 Apr 2014 to 1 May 2018)
  • William James Haughey

    IRN WJH01072

    • (630)CF30 Customer (31 May 2015 to 8 Dec 2019)
  • William James Ronald Malcolm

    IRN WJM01038

    • (1012)CF30 Customer (5 Apr 2018 to 7 Jun 2018)
  • William John Charles Hemmings

    IRN WJH01037

    • (1161)[FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2023)
    • (1160)[FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2023)
    • (1162)[FCA CF] Significant management (9 Dec 2019 to 1 Dec 2023)
    • (1158)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1159)CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • William John Rattray

    IRN WXR01040

    • (2091)CF28 Systems and controls (1 Nov 2007 to 3 Jun 2019)
    • (2093)CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • (2092)CF14 Risk Assessment (1 Dec 2001 to 20 Jun 2005)
  • William John Scholes

    IRN WJS01088

    • (1643)[FCA CF] Client dealing (9 Dec 2019 to 16 Jun 2022)
    • (1644)[FCA CF] Material risk taker (9 Dec 2019 to 16 Jun 2022)
    • (1642)CF30 Customer (20 Nov 2012 to 8 Dec 2019)
  • William Kirton

    IRN WSK01002

    • (793)CF27 Investment Management (1 Dec 2001 to 2 May 2003)
    • (794)CF1 Director (1 Dec 2001 to 1 Dec 2001)

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