Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
12 Throgmorton AvenueLondonEC2N 2DLUNITED KINGDOM- Phone
- +4402077433000
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Complaints Contact
12 Throgmorton AvenueLONDOnEC2N 2DLUNITED KINGDOM- Phone
- +442077433000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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P2P Lending Advice
For Professional, Eligible Counterparty
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Investment Advice (no pensions)
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 1 limitation Hide limitations
- · 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.
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Stockbroking
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Unit, Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · 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.
- · Limited to unregulated collective investment scheme box operations and in carrying on such operations to the specified investment types "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)", and "right to or interest in investments - contractually based investments", (when the latter is associated with these specified investments).
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Investment Setup
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
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Manages Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Funeral plan contract, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
- · 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.
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Oleksandr Merkulov
IRN OXM01174
- (993)CF30 Customer (22 Jan 2016 to 8 Dec 2019)
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Olga Maria De Tapia Visiedo
IRN OMD01010
- (341)CF30 Customer (6 Jun 2016 to 5 Mar 2018)
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Oliver Gray
IRN OXG01056
- (163)[FCA CF] Client dealing (since 9 Dec 2019)
- (1206)CF30 Customer (28 May 2012 to 8 Dec 2019)
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Oliver John Kenneth Dixon
IRN OXD19529
- (1)[FCA CF] Client dealing (since 9 Dec 2019)
- (2046)CF30 Customer (31 Aug 2019 to 8 Dec 2019)
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Oliver Kin Man Yeung
IRN OXY00004
- (635)[FCA CF] Client dealing (since 2 Jul 2020)
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Oliver Lewis Saunders
IRN OXS00166
- (474)[FCA CF] Client dealing (since 20 Nov 2024)
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Oliver McMahon
IRN OXM01028
- (516)CF27 Investment Management (2 May 2003 to 2 Jun 2004)
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Oliver Riley
IRN OJR01014
- (1039)[FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2023)
- (1038)CF30 Customer (27 Mar 2015 to 8 Dec 2019)
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Oliver Riyad Al Alawi
IRN OXA00017
- (644)[FCA CF] Significant management (since 9 Dec 2019)
- (643)[FCA CF] Material risk taker (since 9 Dec 2019)
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Olivia Jane Treharne
IRN OJT01010
- (183)[FCA CF] Manager of certification employee (since 15 Apr 2024)
- (182)[FCA CF] Client dealing (since 22 Jun 2021)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (513)[FCA CF] Client dealing
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controlled function added: (512)[FCA CF] Significant management
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controlled function added: (511)[FCA CF] Client dealing
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controlled function added: (510)[FCA CF] Client dealing
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controlled function added: (509)[FCA CF] Client dealing
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controlled function added: (508)[FCA CF] Client dealing
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controlled function added: (507)[FCA CF] Client dealing
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controlled function added: (506)[FCA CF] Client dealing
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controlled function added: (505)[FCA CF] Client dealing
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controlled function added: (504)[FCA CF] Client dealing