Date authorised
1 April 2013
Companies House
03576013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    55 Drury Lane
    4th Floor
    London
    WC2B 5SQ
    UNITED KINGDOM
    Phone
    +442072687700
  • Complaints Contact

    55 Drury Lane
    4th Floor
    London
    WC2B 5SQ
    UNITED KINGDOM
    Phone
    +442072687818

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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, 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), Rolling spot forex contract, Share, Warrant

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

    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, Warrant

  • 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), Rolling spot forex contract, Share, Warrant

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

Approved individuals

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

  • Peter Smithers

    IRN PXS02236

    • [FCA CF] Manager of certification employee (since 25 Sep 2024)
    • [FCA CF] Client dealing (since 1 Apr 2020)
    • CF30 Customer (26 Jul 2012 to 25 Mar 2013)
  • Peter Timothy James Mason

    IRN PXM00723

    • [FCA CF] Material risk taker (since 1 Aug 2024)
  • Philippe Lehmann

    IRN PXL00338

    • [FCA CF] Client dealing (13 Feb 2024 to 12 Dec 2025)
  • Richard Ignatius Ryan

    IRN RIR01006

    • CF28 Systems and controls (1 Nov 2007 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 20 Mar 2008)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 20 Mar 2008)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Richard Ivon Alexander Gower

    IRN RIG01010

    • CF30 Customer (1 Nov 2007 to 27 Sep 2013)
    • CF3 Chief Executive (4 Aug 2004 to 22 Jun 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 27 Sep 2013)
  • Richard Vaughan Honess

    IRN RXH01287

    • CF30 Customer (10 Apr 2008 to 2 Nov 2009)
  • Robert Connor

    IRN RXC00533

    • [FCA CF] Client dealing (30 Jan 2024 to 23 Sep 2025)
  • Robert William Thorburn

    IRN RWT01060

    • CF30 Customer (25 May 2009 to 19 Jul 2010)
  • Ross Daniel Johnson

    IRN RDJ01041

    • CF30 Customer (18 Jun 2013 to 4 Jul 2013)
  • Rupert David William Margolis

    IRN RXM00714

    • [FCA CF] Material risk taker (since 18 Aug 2022)

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.