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.

  • William Louis Gabriel James

    IRN WLJ01002

    • (960)[FCA CF] Material risk taker (9 Dec 2019 to 2 Dec 2020)
    • (962)[FCA CF] Significant management (9 Dec 2019 to 2 Dec 2020)
    • (961)[FCA CF] Manager of certification employee (9 Dec 2019 to 2 Dec 2020)
    • (959)[FCA CF] Client dealing (9 Dec 2019 to 2 Dec 2020)
    • (958)CF30 Customer (5 Apr 2018 to 8 Dec 2019)
  • William Robert Nixon

    IRN WRN01004

    • (2110)CF30 Customer (1 Nov 2007 to 31 May 2009)
    • (2112)CF1 Director (1 Dec 2001 to 1 Dec 2001)
    • (2111)CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • William Thomas Greenhalgh

    IRN WTG01009

    • (411)CF30 Customer (1 Nov 2007 to 25 Jun 2015)
    • (412)CF27 Investment Management (6 Nov 2006 to 31 Oct 2007)
    • (413)CF1 Director (1 Dec 2001 to 1 Dec 2001)
  • Wing Keung Lai

    IRN WKL01010

    • (162)CF30 Customer (1 Nov 2007 to 28 Feb 2009)
    • (163)CF27 Investment Management (8 May 2007 to 31 Oct 2007)
  • Wolfgang Kuhn

    IRN WXK01071

    • (559)CF30 Customer (1 Nov 2007 to 11 Dec 2017)
    • (560)CF27 Investment Management (1 Nov 2006 to 31 Oct 2007)
  • Xavier Meyer

    IRN XXM00006

    • (354)SMF1 Chief Executive (since 11 Jan 2024)
    • (353)SMF3 Executive Director (since 6 Jun 2023)
    • (2035)Responsible for Insurance Distribution (6 Jun 2023 to 12 Dec 2025)
    • (2036)[FCA CF] Material risk taker (1 Jan 2023 to 6 Jun 2023)
    • (2037)[FCA CF] Manager of certification employee (28 Jul 2022 to 6 Jun 2023)
    • (2038)[FCA CF] Significant management (28 Jul 2022 to 6 Jun 2023)
  • Yann Charles Ottenwaelder

    IRN YCO01000

    • (629)CF30 Customer (2 Jun 2015 to 1 Jul 2017)
  • Yassar Ali

    IRN YXA01120

    • (33)[FCA CF] Significant management (since 15 May 2026)
    • (1078)CF30 Customer (4 Apr 2018 to 19 Oct 2018)
  • Yi Lu

    IRN YXL01060

    • (415)CF30 Customer (2 Jul 2010 to 29 Aug 2014)
  • Yolanda Yang

    IRN YXY00060

    • (858)[FCA CF] Client dealing (25 Jan 2024 to 2 Dec 2025)

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: (309)[FCA CF] Significant management

  2. controlled function added: (308)[FCA CF] Manager of certification employee

  3. controlled function added: (307)[FCA CF] Material risk taker

  4. controlled function added: (306)[FCA CF] Client dealing

  5. controlled function added: (305)[FCA CF] Client dealing

  6. controlled function added: (304)[FCA CF] Client dealing

  7. controlled function added: (303)[FCA CF] Significant management

  8. controlled function added: (302)[FCA CF] Manager of certification employee

  9. controlled function added: (301)[FCA CF] Client dealing

  10. controlled function added: (300)[FCA CF] Client dealing