Addresses
The contact details this firm has registered with the FCA.
-
Principal Place of Business
12 Throgmorton AvenueLondonEC2N 2DLUNITED KINGDOM- Phone
- +4402077433000
-
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.
-
P2P Lending Advice
For Professional, Eligible Counterparty
-
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.
-
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
-
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.
-
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.
-
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.
-
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).
-
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.
-
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.
-
Kunal Hasvant Sheth
IRN KHS01028
- (49)[FCA CF] Client dealing (since 9 Dec 2019)
- (921)[FCA CF] Manager of certification employee (10 Aug 2023 to 5 Mar 2026)
- (920)CF30 Customer (5 Aug 2017 to 8 Dec 2019)
-
Kwok Che Pang
IRN KCP01022
- (196)CF30 Customer (1 Nov 2007 to 2 Feb 2009)
- (197)CF27 Investment Management (22 May 2007 to 31 Oct 2007)
-
Kyle Christian Peppo
IRN KXP00291
- (562)[FCA CF] Client dealing (since 20 Mar 2024)
- (563)[FCA CF] Manager of certification employee (since 30 Aug 2022)
-
Kyle Louis Mallen
IRN KLM01074
- (359)CF30 Customer (20 May 2010 to 13 Nov 2012)
-
Kyrylo Sukhanenko
IRN KXS02533
- (960)[FCA CF] Manager of certification employee (1 Nov 2020 to 13 Apr 2022)
- (959)[FCA CF] Client dealing (9 Dec 2019 to 12 Jul 2023)
- (958)CF30 Customer (20 Dec 2016 to 8 Dec 2019)
-
LAWRENCE VINCENT PETER CHIR
IRN LVC01008
- (1217)CF30 Customer (1 Jan 2011 to 1 Nov 2018)
-
LORENZO CROSATO
IRN LXC01500
- (1293)CF30 Customer (28 Feb 2011 to 2 Jun 2017)
-
Lachlan Tulloch McGil French
IRN LTF01004
- (646)CF29 Significant management (31 Jul 2008 to 1 Nov 2015)
- (645)CF30 Customer (6 Jun 2008 to 1 Nov 2015)
-
Laimonas Staskus
IRN LXS01817
- (999)[FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2021)
- (998)CF30 Customer (3 Dec 2015 to 8 Dec 2019)
-
Lamiaa Chaabi
IRN LXC01839
- (925)[FCA CF] Manager of certification employee (17 Jun 2024 to 12 May 2025)
- (924)[FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2025)
- (923)CF30 Customer (11 Jul 2017 to 8 Dec 2019)
Recent activity
Updates to this firm's record on the FCA register.
-
controlled function added: (384)[FCA CF] Client dealing
-
controlled function added: (383)[FCA CF] Significant management
-
controlled function added: (382)[FCA CF] Manager of certification employee
-
controlled function added: (381)[FCA CF] Significant management
-
controlled function added: (380)[FCA CF] Manager of certification employee
-
controlled function added: (379)[FCA CF] Material risk taker
-
controlled function added: (378)[FCA CF] Manager of certification employee
-
controlled function added: (377)[FCA CF] Manager of certification employee
-
controlled function added: (376)[FCA CF] Client dealing
-
controlled function added: (375)[FCA CF] Client dealing