Date authorised
1 April 2013
Companies House
OC380907
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Riverbank House
    2 Swan Lane
    London
    EC4R 3AD
    UNITED KINGDOM
    Phone
    +4402071442053
  • Complaints Contact

    Riverbank House
    2 Swan Lane
    London
    EC4R 3AD
    UNITED KINGDOM
    Phone
    +4402071447251

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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, 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, 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.
  • Authorised to Operate

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

    For Eligible Counterparty, Professional, 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, 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, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, 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, 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, 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.
  • Investment Setup

    For Eligible Counterparty, Professional, 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, 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, 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.
  • Retail Investment Funds

  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, 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, 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, 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.

Approved individuals

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

  • Robert John Catterall

    IRN RJC01169

    • [FCA CF] Client dealing (9 Dec 2019 to 14 Nov 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Nov 2025)
    • SMF27 Partner (9 Dec 2019 to 10 Dec 2019)
    • CF4 Partner (16 Jun 2014 to 8 Dec 2019)
    • CF30 Customer (15 Mar 2013 to 8 Dec 2019)
  • Robert Stuart Carver

    IRN RSC01065

    • CF30 Customer (15 Mar 2013 to 6 Sep 2013)
  • Ronvir Bilkhu

    IRN RXB00365

    • [FCA CF] Manager of certification employee (17 Sep 2021 to 6 Oct 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 6 Oct 2023)
  • Rory James De Poulton Ferguson

    IRN RJF01139

    • SMF27 Partner (9 Dec 2019 to 10 Dec 2019)
    • CF4 Partner (31 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (1 May 2014 to 15 Sep 2017)
  • Rupert Edward Vaughan

    IRN REV01010

    • CF30 Customer (22 Mar 2013 to 8 Dec 2019)
  • Samuel Tsung Kwong Chin

    IRN STC01044

    • CF30 Customer (15 Mar 2013 to 5 Nov 2013)
  • Sandy Campbell Rattray

    IRN SCR01060

    • SMF27 Partner (9 Dec 2019 to 1 Oct 2021)
    • CF30 Customer (27 Mar 2013 to 3 Dec 2019)
    • CF4 Partner (27 Mar 2013 to 11 Dec 2017)
  • Scott Lawrence Evans

    IRN SLE01051

    • CF30 Customer (18 May 2018 to 8 Dec 2019)
  • Serkan Eren

    IRN SXE00345

    • [FCA CF] Client dealing (since 21 Jul 2025)
  • Shane Wong Kun

    IRN SXW01913

    • CF30 Customer (15 Mar 2013 to 21 Jul 2014)

Recent activity

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

No changes recorded yet.