Date authorised
1 April 2013
Companies House
02223202
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    12 Throgmorton Avenue
    LONDON
    EC2N 2DL
    UNITED KINGDOM
    Phone
    +4402077433000
  • Complaints Contact

    12 Throgmorton Avenue
    LONDON
    EC2N 2DL
    UNITED KINGDOM
    Phone
    +442077433000

What this firm is allowed to do

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

  • Bank Deposits

    For Eligible Counterparty, Professional, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For 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, 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 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.
  • Arranges Asset Safekeeping

    For 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, 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 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.
  • Manages Insurance Policies

    For Eligible Counterparty, Professional, Life and annuity, Linked long-term, Pension fund management, Permanent health

  • Stockbroking

    For 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, 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 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.
  • Trades With You Directly

    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.
    • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • Issues Insurance

    For Eligible Counterparty, Professional, Life and annuity, Linked long-term, Pension fund management, Permanent health

  • Runs Stakeholder Pensions

  • Runs Personal Pensions

  • Investment Setup

    For 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, 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 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.
  • Manages Your Portfolio

    For 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, 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 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.
  • Holds Your Assets

    For 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, 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 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.

Approved individuals

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

  • Rebeccah Claire Tilston

    IRN RXT08113

    • SMF3 Executive Director (since 29 Nov 2018)
    • CF1 Director (21 Nov 2018 to 9 Dec 2018)
  • Richard Brian Ablett

    IRN RBA01009

    • CF1 Director (13 May 2003 to 29 May 2008)
    • CF10 Compliance Oversight (20 Feb 2003 to 31 Oct 2006)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 14 Jul 2003)
  • Richard Ernest Gardner

    IRN RXG00316

    • [FCA CF] Material risk taker (since 4 Jan 2023)
  • Robert Aidan Roche Hayes

    IRN RAH01158

    • SMF3 Executive Director (10 Dec 2018 to 7 Dec 2020)
    • CF1 Director (27 Apr 2010 to 9 Dec 2018)
  • Robert James Hall

    IRN RJH01143

    • SMF11 Chair of the Audit Committee (10 Dec 2018 to 31 Aug 2025)
    • SIMF11 Chair of the Audit Committee (3 May 2018 to 9 Dec 2018)
    • CF2 Non Executive Director (23 Jul 2014 to 6 Mar 2016)
  • Robert McArthur

    IRN RXM01081

    • SMF2 Chief Finance (since 23 Jan 2026)
  • Robert William Lamb

    IRN RXL00081

    • SMF24 Chief Operations (4 Jun 2021 to 23 Feb 2023)
  • Roger John Exwood

    IRN RJE33030

    • [PRA CF] Key function holder (10 Dec 2018 to 18 Feb 2022)
  • Rory Thomas Tobin

    IRN RTT01009

    • CF1 Director (16 Mar 2005 to 1 Dec 2009)
  • Rosanna Dawn Burr

    IRN RDB01131

    • SMF5 Head of Internal Audit (10 Dec 2018 to 1 Oct 2019)
    • SIMF5 Head of Internal Audit Function (7 Mar 2016 to 9 Dec 2018)
    • CF28 Systems and controls (6 Mar 2015 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.