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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Michael Bernard Walsh
IRN MBW01026
- (2526)CF28 Systems and controls (1 Nov 2007 to 25 Jul 2008)
- (2527)CF13 Finance (11 Nov 2005 to 31 Oct 2007)
- (2528)CF1 Director (11 Nov 2005 to 25 Jul 2008)
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Michael Charles Collar
IRN MCC01064
- (365)[FCA CF] Significant management (since 27 Jan 2022)
- (1837)[FCA CF] Manager of certification employee (8 May 2025 to 8 Sep 2025)
- (1836)[FCA CF] Material risk taker (17 May 2021 to 5 Dec 2022)
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Michael Christopher Walsh
IRN MCW01079
- (1708)CF30 Customer (13 May 2009 to 14 Apr 2010)
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Michael Constantis
IRN MXC01497
- (353)[FCA CF] Client dealing (since 9 Dec 2019)
- (1792)[FCA CF] Material risk taker (9 Dec 2019 to 5 Dec 2022)
- (1791)CF30 Customer (1 Dec 2009 to 8 Dec 2019)
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Michael Delph
IRN MXD00978
- (440)[FCA CF] Significant management (since 4 Dec 2025)
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Michael Edward John Phelps
IRN MEP01031
- (2363)CF30 Customer (1 Dec 2009 to 29 Dec 2017)
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Michael Gruener
IRN MXG02663
- (2168)[FCA CF] Material risk taker (9 Dec 2019 to 22 Dec 2021)
- (2169)[FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2021)
- (2170)[FCA CF] Significant management (9 Dec 2019 to 9 Aug 2021)
- (2167)CF29 Significant management (8 Jan 2018 to 8 Dec 2019)
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Michael Jacob Marks
IRN MJM01308
- (1707)CF30 Customer (1 Dec 2009 to 3 Dec 2015)
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Michael James Harper
IRN MJH01366
- (1793)CF30 Customer (1 Nov 2007 to 18 Jun 2018)
- (1794)CF27 Investment Management (30 Apr 2003 to 31 Oct 2007)
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Michael James McKay Palframan
IRN MJP01417
- (1027)CF30 Customer (19 Jun 2015 to 16 Mar 2018)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (433)[FCA CF] Client dealing
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controlled function added: (432)[FCA CF] Client dealing
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controlled function added: (431)[FCA CF] Client dealing
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controlled function added: (430)[FCA CF] Client dealing
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controlled function added: (429)[FCA CF] Client dealing
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controlled function added: (428)[FCA CF] Client dealing
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controlled function added: (427)[FCA CF] Client dealing
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controlled function added: (426)[FCA CF] Client dealing
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controlled function added: (425)[FCA CF] Client dealing
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controlled function added: (424)[FCA CF] Client dealing