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.

  • David Graham Hollis

    IRN DGH01056

    • [FCA CF] Manager of certification employee (since 1 Mar 2023)
    • [FCA CF] Client dealing (since 23 Dec 2022)
  • David Patrick Ennett

    IRN DPE01022

    • [FCA CF] Material risk taker (since 2 Jan 2026)
    • [FCA CF] Significant management (since 2 Jan 2026)
    • [FCA CF] Manager of certification employee (since 4 Mar 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (27 Oct 2021 to 30 Apr 2025)
    • CF30 Customer (1 Mar 2019 to 8 Dec 2019)
  • Derek Colin Stuart

    IRN DCS01056

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (3 Sep 2002 to 31 Oct 2007)
  • Douglas Murray Cooper

    IRN DMC01083

    • CF10a CASS Oversight function (7 May 2015 to 4 Oct 2017)
    • CF28 Systems and controls (1 Nov 2007 to 31 Oct 2017)
    • CF1 Director (20 Feb 2007 to 31 Oct 2017)
    • CF13 Finance (25 Oct 2004 to 31 Oct 2007)
  • Dylan Michael Raj Watts

    IRN DXW00467

    • [FCA CF] Client dealing (since 1 Apr 2022)
  • Edward Aidan Redmond

    IRN EAR01022

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Oct 2021)
  • Edward Legget

    IRN EFL01009

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (17 Dec 2015 to 8 Dec 2019)
  • Egerton John Wood

    IRN EJW01033

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (1 Jun 2004 to 31 Oct 2007)
  • Elaine Margaret Vincent

    IRN EMG01024

    • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2020)
  • Elizabeth Mary Cole

    IRN EXC00055

    • [FCA CF] Significant management (since 26 Nov 2020)

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.