Date authorised
20 September 2016
Companies House
OC404019
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 New Burlington Street
    Westminster
    London
    W1S 3BE
    UNITED KINGDOM
    Phone
    +4402074346400
  • Complaints Contact

    10 New Burlington Street
    Westminster
    London
    W1S 3BE
    UNITED KINGDOM
    Phone
    +4402074346400

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, Spread Bet, 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, Spread Bet, 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

    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, Spread Bet, 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, Spread Bet, 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, Spread Bet, 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.
  • 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, Spread Bet, 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.
  • 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, Share, Spread Bet, 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.

  • . Ares European Loan Management Holdings (

    IRN XXA01328

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (20 Sep 2016 to 8 Dec 2019)
  • . Ares European Loan Management Holdings (

    IRN XXA01327

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (20 Sep 2016 to 8 Dec 2019)
  • . Ares European Loan Management Holdings L

    IRN XXA01329

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (20 Sep 2016 to 8 Dec 2019)
  • Anthony Stanton Dell

    IRN ASD01102

    • CF11 Money Laundering Reporting (20 Sep 2016 to 1 Feb 2017)
    • CF10 Compliance Oversight (20 Sep 2016 to 1 Feb 2017)
  • Blair Jacobson

    IRN BXJ01182

    • [FCA CF] Client dealing (since 4 Aug 2025)
    • [FCA CF] Material risk taker (since 31 Mar 2024)
  • Boris Nicholas Okuliar

    IRN BNO01003

    • [FCA CF] Material risk taker (31 Mar 2024 to 30 Jun 2025)
    • [FCA CF] Client dealing (31 Mar 2024 to 30 Jun 2025)
    • [FCA CF] Significant management (31 Mar 2024 to 30 Jun 2025)
  • Brian Abdelhadi

    IRN BXA01187

    • [FCA CF] Material risk taker (since 31 Mar 2024)
    • [FCA CF] Client dealing (since 31 Mar 2024)
  • Colin Brodie

    IRN CXB00287

    • [FCA CF] Material risk taker (since 31 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Feb 2024)
    • SMF16 Compliance Oversight (since 15 Feb 2024)
  • David Wood

    IRN XDW01000

    • [FCA CF] Client dealing (since 30 Jun 2025)
    • [FCA CF] Material risk taker (since 30 Jun 2025)
  • Francois Gauvin

    IRN FXG01119

    • [FCA CF] Client dealing (since 4 Aug 2025)
    • [FCA CF] Material risk taker (since 31 Mar 2024)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF3 Chief Executive (22 Nov 2017 to 8 Dec 2019)
    • CF4 Partner (22 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (20 Sep 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.