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

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor Regis House
    45 King William Street
    London
    EC4R 9AN
    UNITED KINGDOM
    Phone
    +4402074031877
  • Complaints Contact

    2nd Floor Regis House
    45 King William Street
    London
    EC4R 9AN
    UNITED KINGDOM
    Phone
    +4402074031877

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying out transactions permitted by the rules of the Society.
  • 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, 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, 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, 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, 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 All, Linked long-term

  • Stockbroking

    For 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, 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, Retail (Investment), 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), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Issues Insurance

    For All, Linked long-term

  • Investment Setup

    For 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, 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, 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, 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.

  • D.M. Fenn

    IRN DMF01037

    • SMF25 Small Insurer Senior Management Function (since 10 Dec 2018)
    • SIMF25 Small Insurer Senior Manager (7 Mar 2016 to 9 Dec 2018)
    • CF5 Director of Unincorporated Association (1 Dec 2001 to 6 Mar 2016)
  • David Alan Swain

    IRN DAS01179

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 May 2005)
  • Kevin James Thomas Walmsley

    IRN KJW01103

    • SMF3 Executive Director (since 10 Dec 2018)
    • CF5 Director of Unincorporated Association (19 May 2005 to 9 Dec 2018)
  • Peter Edwin Villa

    IRN PEV01005

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 May 2005)
  • R Howard

    IRN RXH01323

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 May 2014)
  • R.G. Lower

    IRN RGL01029

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 Dec 2001)
  • R.S. Butterfield

    IRN RSB01068

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 May 2014)
  • Richard Stanley Reece

    IRN RSR01021

    • CF5 Director of Unincorporated Association (1 Dec 2001 to 1 May 2005)
  • Stephen John Hampshire

    IRN SJH01281

    • SMF25 Small Insurer Senior Management Function (since 10 Dec 2018)
    • SIMF25 Small Insurer Senior Manager (7 Mar 2016 to 9 Dec 2018)
    • CF5 Director of Unincorporated Association (1 Dec 2001 to 6 Mar 2016)
  • Stephen Paul Grant

    IRN SPG01098

    • SMF3 Executive Director (since 10 Dec 2018)
    • CF5 Director of Unincorporated Association (16 May 2005 to 9 Dec 2018)

Recent activity

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

No changes recorded yet.