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.

  • Hua Chai

    IRN HXC01387

    • [FCA CF] Client dealing (22 Apr 2025 to 6 Mar 2026)
  • Hugh Wilson McIntosh Little

    IRN HJL01019

    • CF30 Customer (1 Nov 2007 to 14 Jun 2012)
    • CF1 Director (3 Dec 2004 to 7 Aug 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Hugh Young

    IRN HXY01007

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (13 Nov 2003 to 29 Feb 2012)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Hui Shan Marisa Loh

    IRN HSL01026

    • CF30 Customer (25 Oct 2013 to 29 Aug 2014)
  • Humaira Sheikh

    IRN HXS01119

    • CF27 Investment Management (22 Nov 2002 to 10 Jul 2007)
  • IAN DOUGLAS SHANKS

    IRN IDS01059

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2020)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2020)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • Iain Andrew Pyle

    IRN IAP01021

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jan 2024)
    • CF30 Customer (5 Apr 2018 to 8 Dec 2019)
  • Iain Arthur Kilpatrick

    IRN IAK01017

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (11 Jan 2018 to 8 Dec 2019)
  • Iain Collyer Ross Havard

    IRN ICH01021

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2024)
    • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • Iain Forbes Fulton

    IRN IXF01078

    • CF30 Customer (1 Apr 2014 to 6 Jun 2014)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.