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.

  • Matthew Francis Cooper

    IRN MFC01038

    • CF11 Money Laundering Reporting (4 Apr 2003 to 1 Mar 2005)
  • Michael Andrew Weeks

    IRN MAW01210

    • CF16 Significant Mgt (Desgntd Investment Business) (27 Jun 2003 to 24 Sep 2003)
  • Michael Bernard Walsh

    IRN MBW01026

    • CF28 Systems and controls (1 Nov 2007 to 25 Jul 2008)
    • CF1 Director (11 Nov 2005 to 25 Jul 2008)
    • CF13 Finance (11 Nov 2005 to 31 Oct 2007)
  • Michael John O'Brien

    IRN MJO01049

    • CF3 Chief Executive (13 Jan 2010 to 28 Jun 2010)
    • CF1 Director (28 Jun 2007 to 28 Jun 2010)
  • Michael Thomas Brown

    IRN MTB01021

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Mar 2003)
    • CF1 Director (1 Dec 2001 to 31 Mar 2003)
  • Murray Joseph Preston

    IRN MJP33033

    • [FCA CF] Material risk taker (15 Dec 2022 to 24 May 2024)
    • [PRA CF] Key function holder (10 Dec 2018 to 24 May 2024)
  • Neil Lindsay Nicholson Machray

    IRN NLM01023

    • SMF11 Chair of the Audit Committee (since 19 Aug 2025)
  • Nicholas Charles Dalton Hall

    IRN NCH01038

    • SIMF9 Chairman (7 Mar 2016 to 31 May 2017)
    • CF2 Non Executive Director (22 Mar 2010 to 6 Mar 2016)
  • Nicholas John Gibson

    IRN NXG01499

    • SMF16 Compliance Oversight (since 10 Dec 2018)
    • CF10 Compliance Oversight (23 Nov 2016 to 9 Dec 2018)
  • Nicolas Hornby Taylor

    IRN NHT01003

    • CF2 Non Executive Director (16 Jul 2010 to 3 Sep 2014)

Recent activity

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

No changes recorded yet.