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.

  • Neil Jones

    IRN NXJ01063

    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 17 Jul 2006)
  • Neil Kumar Arora

    IRN NXA00217

    • [FCA CF] Client dealing (since 30 Jun 2022)
    • [FCA CF] Material risk taker (30 Jun 2022 to 4 Apr 2023)
  • Neil Lewis Hart

    IRN NLH01012

    • CF26 Customer Trading (21 Feb 2003 to 31 Dec 2005)
  • Neil Martin Harrison

    IRN NMH01043

    • CF26 Customer Trading (1 Dec 2001 to 1 Sep 2005)
  • Neroy Nath

    IRN NXN01041

    • CF26 Customer Trading (18 Mar 2002 to 17 Sep 2007)
  • Niamh Marie Staunton

    IRN NMS01059

    • SMF3 Executive Director (since 21 Feb 2024)
  • Nicholas Anthony Allnutt

    IRN NAA01043

    • CF30 Customer (7 Apr 2009 to 18 Dec 2017)
  • Nicholas Anthony Slater

    IRN NAS01109

    • CF29 Significant management (1 Nov 2007 to 13 Aug 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Feb 2007 to 31 Oct 2007)
  • Nicola Ann Robinson

    IRN NAR01043

    • CF26 Customer Trading (13 Oct 2005 to 31 Dec 2005)
  • Nicolas Fomm

    IRN NXF01082

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

Recent activity

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

No changes recorded yet.