Date authorised
1 April 2013
Companies House
01988106
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Cassini House
    57 St. James's Street
    London
    SW1A 1LD
    UNITED KINGDOM
    Phone
    +4408000922051
  • Complaints Contact

    Cassini House
    57 St. James's Street
    London
    SW1A 1LD
    UNITED KINGDOM
    Phone
    +4408000922051

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 Professional, Rights to or interests in investments (Security), Unit

    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.
  • Retail Investment Funds

  • Specialist Investment Funds

  • Private Investment Funds

Approved individuals

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

  • Nicola Jane Hennessy

    IRN NXH00016

    • [FCA CF] Functions requiring qualifications (6 Jan 2020 to 5 Jul 2022)
  • Nigel Anthony David Thomas

    IRN NAT01022

    • CF1 Director (1 Dec 2001 to 22 May 2002)
    • CF27 Investment Management (1 Dec 2001 to 22 May 2002)
  • Olivia Micklem

    IRN OXM21415

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (11 Oct 2019 to 8 Dec 2019)
  • Paras Kishore Anand

    IRN PKA01006

    • SMF3 Executive Director (24 Jun 2022 to 12 Jun 2025)
  • Paul Andrew Abberley

    IRN PAA01030

    • CF1 Director (1 Dec 2001 to 9 Sep 2002)
    • CF15 Internal Audit (1 Dec 2001 to 9 Sep 2002)
  • Paul Gannon

    IRN PXG01610

    • CF30 Customer (6 May 2014 to 19 Oct 2018)
  • Peter Arnold Ernst-August Saacke

    IRN PAS01168

    • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Jun 2024)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Mar 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 28 Jun 2024)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Mar 2024)
    • CF1 Director (6 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (1 Dec 2002 to 31 Oct 2007)
  • Peter John Wilson

    IRN PJW01132

    • CF27 Investment Management (1 Dec 2001 to 15 Dec 2001)
  • Peter Maden

    IRN PXM00024

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2021)
  • Peter Ross Leckie

    IRN PRL01051

    • [FCA CF] Significant management (9 Dec 2019 to 4 Jul 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.