Date authorised
1 April 2013
Companies House
00156938
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 35 110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +442076264521
  • Complaints Contact

    Level 35 110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +442076264521

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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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, 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

    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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Holds Your Assets

    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

    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.

  • Michael John Beale

    IRN MJB01304

    • CF2 Non Executive Director (1 Dec 2001 to 2 Dec 2001)
  • Michael John Hussey

    IRN MJH01297

    • CF30 Customer (1 Nov 2007 to 30 Apr 2013)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Michael Terence Livings

    IRN MTL01019

    • CF29 Significant management (1 Nov 2007 to 1 Jul 2011)
    • CF30 Customer (1 Nov 2007 to 1 Jul 2011)
    • CF1 Director (13 Jan 2004 to 1 Jul 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • Michelle Chu

    IRN MXC57142

    • [FCA CF] Client dealing (9 Dec 2019 to 1 May 2020)
  • Neil Anthony Carr

    IRN NAC01094

    • [FCA CF] Client dealing (9 Dec 2019 to 15 Apr 2025)
    • CF30 Customer (12 Jun 2013 to 8 Dec 2019)
  • Nicholas Benjamin Bass

    IRN NBB01018

    • [FCA CF] Significant management (9 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 30 Apr 2021)
    • CF30 Customer (20 Jan 2011 to 8 Dec 2019)
  • Nicholas Gustav Rudi

    IRN NGR01012

    • CF22 Investment Adviser (Trainee) (14 Sep 2004 to 1 Mar 2005)
  • Nicholas John Alwyn Fellowes

    IRN NJF01044

    • [FCA CF] Client dealing (17 Feb 2022 to 18 May 2023)
    • [FCA CF] Proprietary trader (17 Feb 2022 to 18 Feb 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Nov 2024)
    • SMF3 Executive Director (9 Dec 2019 to 1 Nov 2024)
    • CF3 Chief Executive (9 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Nicholas John McClements

    IRN NJM01184

    • CF30 Customer (7 Oct 2017 to 20 Dec 2017)
  • Nicholas William Bryant

    IRN NWB01035

    • [FCA CF] Material risk taker (since 29 Dec 2021)
    • [FCA CF] Proprietary trader (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (19 Jan 2012 to 8 Dec 2019)

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.