Date authorised
1 April 2013
Companies House
00156938
Last scraped
3 weeks ago
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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.

  • Ka Yue Tang

    IRN KYT01008

    • [FCA CF] Client dealing (2 Mar 2023 to 20 Dec 2024)
  • Kelly Green

    IRN KXG00307

    • [FCA CF] CASS oversight function (since 15 Jan 2026)
    • [FCA CF] Material risk taker (since 31 Dec 2023)
    • [FCA CF] Significant management (since 31 Dec 2023)
  • Kevin Dunn Latcham

    IRN KDL01010

    • CF30 Customer (1 Nov 2007 to 1 Jul 2008)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Jul 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Kim Anthony Woodthorpe

    IRN KAW01032

    • CF30 Customer (1 Nov 2007 to 30 Jun 2018)
    • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Kyle Lawrence Butler

    IRN KXB00729

    • [FCA CF] Client dealing (since 5 Jan 2026)
  • Lan Li

    IRN LXL01194

    • CF30 Customer (1 Nov 2007 to 31 Oct 2014)
    • CF22 Investment Adviser (Trainee) (6 Jul 2007 to 31 Oct 2007)
  • Leo Ian Eccles

    IRN LIE01002

    • CF21 Investment Adviser (1 Dec 2001 to 29 Sep 2003)
    • CF26 Customer Trading (1 Dec 2001 to 29 Sep 2003)
  • Liping Chen

    IRN CXL01309

    • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
    • CF21 Investment Adviser (7 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Sep 2005 to 7 Jun 2006)
  • Lloyd Kelleher

    IRN LXK01260

    • [FCA CF] Client dealing (since 22 Aug 2022)
  • Lynne Catherine Wakem

    IRN LCW01015

    • CF28 Systems and controls (1 Nov 2007 to 9 Sep 2019)
    • CF29 Significant management (1 Nov 2007 to 9 Sep 2019)
    • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 31 Oct 2007)

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.