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.

  • Sothiro Pin

    IRN SXP01782

    • [FCA CF] Client dealing (since 29 Sep 2022)
  • Stefan Sluke

    IRN SXS02646

    • CF30 Customer (22 Mar 2013 to 6 Feb 2014)
  • Steffan John Berridge

    IRN SJB01475

    • CF30 Customer (15 Mar 2013 to 2 Sep 2013)
  • Stephen Drake Siard

    IRN SDS01155

    • CF30 Customer (19 Dec 2016 to 2 Oct 2019)
  • Stephen John Gunning

    IRN SJG01284

    • CF30 Customer (15 Mar 2013 to 12 Apr 2019)
  • Stephen Luke Ellis

    IRN SLE01013

    • [FCA CF] Manager of certification employee (15 Oct 2020 to 1 Sep 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 10 Dec 2019)
    • CF3 Chief Executive (1 Sep 2016 to 8 Dec 2019)
  • Stephen Matthew Emery

    IRN SME01064

    • CF30 Customer (7 Aug 2015 to 28 Aug 2015)
  • Stephen Ross

    IRN SXR01412

    • CF4 Partner (15 Mar 2013 to 26 Apr 2013)
  • Thomas Erich Flury

    IRN TEF01013

    • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2021)
    • SMF27 Partner (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Algorithmic trading (9 Dec 2019 to 8 Apr 2021)
    • [FCA CF] Material risk taker (9 Dec 2019 to 8 Apr 2021)
    • CF4 Partner (30 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (15 Mar 2013 to 8 Dec 2019)
  • Thomas Patrick Taylor

    IRN TPT01017

    • CF4 Partner (1 Mar 2017 to 1 Jan 2018)

Recent activity

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

No changes recorded yet.