Date authorised
1 April 2013
Companies House
03526143
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.

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.
  • Manages Insurance Policies

    For All, Life and annuity, Linked long-term, Pension fund management

  • Stockbroking

    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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  • Trades With You Directly

    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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.
  • Issues Insurance

    For All, Life and annuity, Linked long-term, Pension fund management

  • Investment Setup

    For 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.
  • 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Stephen John Maynard

    IRN SJM01199

    • CF13 Finance (1 Dec 2001 to 21 Apr 2002)
  • Stephen Wallace

    IRN SXW00109

    • [FCA CF] Significant management (22 Apr 2020 to 1 Jan 2024)
  • Stephen Whitehead

    IRN SXW77558

    • SMF7 Group Entity Senior Manager (12 Jan 2022 to 31 Mar 2023)
    • [FCA CF] Manager of certification employee (1 Sep 2021 to 12 Jan 2022)
    • [FCA CF] Material risk taker (16 Mar 2020 to 9 Sep 2021)
    • [FCA CF] Significant management (16 Mar 2020 to 12 Jan 2022)
    • [PRA CF] Significant risk taker or Material risk taker (16 Mar 2020 to 17 Mar 2020)
  • Steven Gordon

    IRN SXG84031

    • [FCA CF] Material risk taker (10 Dec 2018 to 9 Sep 2021)
    • [FCA CF] Significant management (10 Dec 2018 to 5 Jan 2026)
  • Steven Whalley

    IRN SXW19157

    • [PRA CF] Significant risk taker or Material risk taker (30 Mar 2020 to 31 Mar 2020)
    • [FCA CF] Significant management (30 Mar 2020 to 31 Dec 2020)
    • [FCA CF] Manager of certification employee (30 Mar 2020 to 31 Dec 2020)
    • [FCA CF] Material risk taker (30 Mar 2020 to 31 Dec 2020)
  • Steven William David Latto

    IRN SWL01061

    • [PRA CF] Significant risk taker or Material risk taker (26 Mar 2020 to 27 Mar 2020)
    • [FCA CF] Significant management (26 Mar 2020 to 30 Sep 2022)
    • [FCA CF] Material risk taker (26 Mar 2020 to 9 Sep 2021)
    • [FCA CF] CASS oversight function (26 Mar 2020 to 27 Mar 2020)
  • Stuart John Ives

    IRN SJI01021

    • [FCA CF] Significant management (since 3 Mar 2026)
  • Stuart Lapsley MacLennan

    IRN SXM00852

    • [FCA CF] Manager of certification employee (since 1 Jan 2026)
    • [FCA CF] Significant management (since 1 Dec 2025)
  • Tamsin Jane Balfour

    IRN TJB01139

    • [FCA CF] Material risk taker (10 Dec 2018 to 27 Nov 2020)
    • [FCA CF] Significant management (10 Dec 2018 to 6 Mar 2023)
  • Terry Yuk Leung Tsang

    IRN TXT00048

    • SMF5 Head of Internal Audit (since 16 Mar 2026)
    • SMF5 Head of Internal Audit (6 Apr 2023 to 26 Apr 2024)
    • [FCA CF] Significant management (9 Sep 2022 to 6 Apr 2023)

Recent activity

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

No changes recorded yet.