Date authorised
1 April 2013
Companies House
SC160821
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Dundas House
    20 Brandon Street
    Edinburgh
    Midlothian
    EH3 5PP
    UNITED KINGDOM
    Phone
    +4401314727200
  • Complaints Contact

    Blackrock
    12 Throgmorton Avenue
    London
    City Of London
    EC2N 2DL
    UNITED KINGDOM
    Phone
    +4402077433000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 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.
  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 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 Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Neil James Hepworth

    IRN NJH01139

    • CF30 Customer (20 Apr 2010 to 29 Mar 2013)
  • Neil Weller

    IRN NTW01015

    • CF30 Customer (20 Nov 2008 to 28 Apr 2011)
  • Ngozi Ifeoma Ezike

    IRN NXD00157

    • [FCA CF] Significant management (since 9 Aug 2021)
    • [FCA CF] Material risk taker (9 Nov 2023 to 31 Dec 2024)
  • Nicholas Andrew Moore

    IRN NAM01048

    • CF30 Customer (5 Feb 2015 to 29 Aug 2017)
  • Nicholas Charles Dalton Hall

    IRN NCH01038

    • CF2 Non Executive Director (12 Feb 2010 to 31 May 2017)
    • CF1 Director (30 Oct 2007 to 29 May 2009)
  • Nicholas Charles Fraser McLeod Clarke

    IRN NCM01022

    • CF30 Customer (16 Jan 2009 to 5 Jun 2017)
  • Nicholas David Little

    IRN NDL01018

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Dec 2022)
    • CF30 Customer (4 Mar 2009 to 8 Dec 2019)
  • Nicholas Geoffrey Haslam Hutton

    IRN NXH00085

    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (22 Mar 2024 to 12 Sep 2024)
  • Nicholas James Charrington

    IRN NJC00010

    • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 4 Dec 2025)
    • SMF9 Chair of the Governing Body (9 Dec 2019 to 4 Dec 2025)
    • CF2 Non Executive Director (5 Aug 2015 to 8 Dec 2019)
    • CF3 Chief Executive (10 Feb 2011 to 24 Jul 2013)
    • CF1 Director (10 Feb 2011 to 6 Mar 2015)
    • CF29 Significant management (15 Dec 2009 to 18 Feb 2011)
  • Nicholas James Joseph Hay

    IRN NJH01180

    • CF30 Customer (1 Dec 2009 to 10 Sep 2018)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.