Date authorised
1 April 2013
Companies House
01378710
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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.
  • 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, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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.
  • Stockbroking

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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.
  • Trades With You Directly

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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.
  • Investment Setup

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), 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.

Approved individuals

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

  • Hiromichi Kaburaki

    IRN HXK01150

    • CF26 Customer Trading (8 Aug 2005 to 31 Dec 2005)
  • Hiromichi Usui

    IRN HXU01004

    • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2005)
  • Hormoz Ala

    IRN HXA01519

    • [FCA CF] Material risk taker (since 1 Feb 2020)
    • [FCA CF] Client dealing (since 1 Feb 2020)
    • CF30 Customer (11 Aug 2015 to 8 Dec 2019)
  • Howard Nigel Green

    IRN HNG01004

    • CF26 Customer Trading (1 Dec 2001 to 10 Aug 2004)
  • I Z Wong

    IRN IZW01000

    • CF26 Customer Trading (28 Jun 2005 to 31 Dec 2005)
  • Iain Charles Gannon

    IRN IXG01057

    • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2005)
  • Iain Thomson Welsh

    IRN ITW01012

    • CF26 Customer Trading (13 Mar 2002 to 31 Dec 2005)
  • Ian Antony Waring

    IRN IAW01018

    • CF26 Customer Trading (1 Dec 2001 to 31 Dec 2005)
  • Ian David Bowles

    IRN IDB01049

    • [FCA CF] Material risk taker (1 Feb 2021 to 30 Jun 2021)
    • CF30 Customer (10 Apr 2008 to 8 Sep 2009)
    • CF26 Customer Trading (15 Jun 2004 to 31 Dec 2005)
  • Ian John Stevenson

    IRN IJS01021

    • CF10 Compliance Oversight (1 Dec 2001 to 3 Sep 2004)

Recent activity

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

No changes recorded yet.