Date authorised
1 April 2013
Companies House
OC352581
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    40 Berkeley Square
    London
    W1J 5AL
    UNITED KINGDOM
    Phone
    +4402074514000
  • Complaints Contact

    40 Berkeley Square
    London
    London
    W1J 5AL
    UNITED KINGDOM
    Phone
    +442074514000

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, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • 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, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • Investment Setup

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

  • Stephen Daniel Plavin

    IRN SXP00507

    • [FCA CF] Significant management (2 May 2022 to 31 Jul 2025)
    • [FCA CF] Manager of certification employee (29 Oct 2021 to 31 Jul 2025)
    • [FCA CF] Client dealing (29 Oct 2021 to 31 Jul 2025)
  • Stephen Thomas Skrenta

    IRN STS01021

    • CF4 Partner (1 Oct 2010 to 12 Oct 2010)
    • CF30 Customer (1 Oct 2010 to 12 Mar 2015)
  • Stuart Morrison Grant

    IRN SXG01284

    • CF30 Customer (1 Oct 2010 to 5 Nov 2010)
  • Sumedha Goenka

    IRN SXG02460

    • [FCA CF] Manager of certification employee (since 18 Mar 2021)
    • [FCA CF] Client dealing (since 18 Mar 2021)
    • CF30 Customer (6 Apr 2018 to 8 Dec 2019)
  • Sunil Vaswani

    IRN SXV01157

    • CF30 Customer (14 Jan 2011 to 1 Oct 2012)
  • Susan Wendy Peterssen

    IRN SXP00327

    • [FCA CF] Manager of certification employee (since 26 Aug 2020)
    • [FCA CF] Client dealing (since 26 Aug 2020)
  • Susannah Gael Lindenfield

    IRN SXL18542

    • SMF16 Compliance Oversight (9 Dec 2019 to 15 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jul 2022)
    • CF10 Compliance Oversight (7 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Nov 2019 to 8 Dec 2019)
    • CF4 Partner (7 Nov 2019 to 9 Dec 2019)
  • Syed Qasim Abbas

    IRN SQA00002

    • [FCA CF] Client dealing (since 21 Oct 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (16 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (12 Nov 2013 to 8 Dec 2019)
  • Syed, Faisal Jamil

    IRN SFJ01015

    • CF30 Customer (10 Feb 2011 to 4 Dec 2014)
  • THOMAS BERNARD GHISLAINE DE CANNIERE

    IRN TBD01020

    • CF30 Customer (24 Apr 2018 to 5 Feb 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.