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.

  • Jens Petter Steen

    IRN JPS01179

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Mar 2020)
  • Jeremy Lincoln Newell

    IRN JLN01009

    • CF10a CASS Oversight function (1 Oct 2011 to 27 Feb 2015)
    • CF1 Director (1 Dec 2001 to 18 Oct 2007)
  • Johke Coetzee

    IRN JXC01508

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 May 2002)
  • John Edwin Dodd

    IRN JED01048

    • SMF9 Chair of the Governing Body (21 Feb 2020 to 31 Dec 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2024)
    • SMF1 Chief Executive (9 Dec 2019 to 21 Feb 2020)
    • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
    • CF3 Chief Executive (12 Oct 2018 to 8 Dec 2019)
    • CF1 Director (18 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (2 Sep 2002 to 31 Oct 2007)
  • John Harry Eastwood

    IRN JXE00340

    • [FCA CF] Client dealing (since 29 May 2024)
  • Johnathan Andrew Douglas Rigler

    IRN ADR01056

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Nov 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Nov 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (8 Dec 2003 to 31 Oct 2007)
  • Jonathan George William Banks

    IRN JXB00729

    • [FCA CF] Significant management (since 1 Jan 2023)
  • Jonathan Mark Braithwaite

    IRN JXB00969

    • [FCA CF] Client dealing (since 13 Jan 2022)
  • Jonathan Parsons

    IRN JXP01997

    • [FCA CF] Client dealing (29 Mar 2021 to 11 Mar 2024)
  • Jonathan Richard Loukes

    IRN JRL01129

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (10 Oct 2017 to 8 Dec 2019)
    • CF28 Systems and controls (10 Oct 2017 to 8 Dec 2019)

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.