Date authorised
1 April 2013
Companies House
OC312612
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor
    1 Newman Street
    London
    W1T 1PB
    UNITED KINGDOM
    Phone
    +4402070702400
  • Complaints Contact

    A K O Capital Llp
    1 Newman Street
    London
    Westminster
    W1T 1PB
    UNITED KINGDOM
    Phone
    +4402070702400

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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.
  • Arranges Asset Safekeeping

  • 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.
  • Private Investment Funds

  • Manages Your Portfolio

    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.

Approved individuals

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

  • Nicola Jane Staples

    IRN NJS01179

    • CF4 Partner (7 Mar 2006 to 9 Dec 2019)
  • Nicolai Tangen

    IRN NXT01053

    • SMF1 Chief Executive (9 Dec 2019 to 14 Jun 2020)
    • SMF27 Partner (9 Dec 2019 to 14 Jun 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (14 Jul 2005 to 8 Dec 2019)
    • CF27 Investment Management (14 Jul 2005 to 31 Oct 2007)
    • CF4 Partner (14 Jul 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jul 2005 to 31 Oct 2007)
  • Niels Kroner

    IRN NXK01209

    • CF4 Partner (23 Apr 2007 to 31 Mar 2009)
  • Patrick Peter Joseph Hargreaves

    IRN PPH01014

    • [FCA CF] Manager of certification employee (since 15 Mar 2024)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF3 Chief Executive (16 Jul 2019 to 8 Dec 2019)
    • CF30 Customer (27 May 2015 to 8 Dec 2019)
    • CF4 Partner (16 May 2011 to 8 Dec 2019)
  • Peter Anthony Towler

    IRN PAT01168

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Dec 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Dec 2023)
    • CF11 Money Laundering Reporting (1 Oct 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2011 to 8 Dec 2019)
    • CF4 Partner (14 Mar 2011 to 9 Dec 2019)
  • Peter Leach

    IRN PXL01720

    • CF4 Partner (4 Jan 2016 to 9 Dec 2019)
  • REBECCA ALVEY

    IRN RXA01850

    • [FCA CF] Client dealing (since 30 Sep 2020)
  • Rakesh Patel

    IRN RXP01273

    • CF30 Customer (3 Nov 2008 to 14 Oct 2011)
  • Rebecca Warde

    IRN RXW00351

    • [FCA CF] Client dealing (since 19 Dec 2023)
  • Richard John Pearce

    IRN RJP01270

    • CF4 Partner (17 Feb 2010 to 3 Jan 2017)

Recent activity

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

No changes recorded yet.