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.

  • Lindsay Peter Tomlinson

    IRN LXT01066

    • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 25 Sep 2003)
    • CF3 Chief Executive (1 Dec 2001 to 25 Sep 2003)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 25 Sep 2003)
    • CF1 Director (1 Dec 2001 to 25 Sep 2003)
  • Maarten Frederik Slendebroek

    IRN MFS01062

    • CF29 Significant management (15 Sep 2011 to 1 May 2012)
  • Malcolm Ashley Smith

    IRN MAS01157

    • CF16 Significant Mgt (Desgntd Investment Business) (16 Oct 2003 to 29 Jun 2007)
  • Malcolm Himsworth

    IRN MXH01421

    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Nov 2002)
  • Margaretha Anne Jensen

    IRN MAJ01085

    • [FCA CF] Manager of certification employee (23 Jan 2023 to 31 Jul 2025)
  • Mark Christian Allen

    IRN MXA00060

    • CF3 Chief Executive (11 Jan 2013 to 22 Sep 2015)
    • CF1 Director (11 Jan 2013 to 22 Sep 2015)
  • Mark David Nash

    IRN MDN33031

    • [PRA CF] Key function holder (10 Dec 2018 to 18 Dec 2019)
  • Mark John Carawan

    IRN MJC01370

    • CF28 Systems and controls (1 Nov 2007 to 5 Jan 2010)
    • CF15 Internal Audit (27 Jun 2003 to 31 Oct 2007)
  • Mark Robert Hodgson

    IRN MRH01160

    • CF28 Systems and controls (13 Jan 2010 to 6 Jan 2011)
  • Martin Brian Cook

    IRN MBC01074

    • SMF24 Chief Operations (5 Mar 2019 to 21 Jun 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 4 Dec 2020)
    • CF29 Significant management (5 Oct 2015 to 9 Dec 2018)
    • Responsible for Insurance Mediation (5 Oct 2015 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.