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.

  • Shawn Wharton

    IRN SXW00337

    • [FCA CF] Significant management (1 Feb 2020 to 31 Dec 2020)
    • [FCA CF] Material risk taker (1 Feb 2020 to 26 Mar 2021)
  • Shet Fern Tan

    IRN SFT01016

    • CF26 Customer Trading (1 Feb 2005 to 31 Dec 2005)
  • Shinan Cui

    IRN SXC03185

    • [FCA CF] Client dealing (since 16 Jan 2026)
  • Shirley Chou Yang

    IRN SCY01004

    • CF26 Customer Trading (1 Dec 2001 to 30 Nov 2004)
  • Siew Lee Ho

    IRN SLH01062

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

    IRN SAW01116

    • CF26 Customer Trading (1 Dec 2001 to 24 Oct 2007)
  • Simon David Underdown

    IRN SDU01005

    • CF26 Customer Trading (1 Dec 2001 to 11 Sep 2007)
  • Simon Galloway

    IRN SXG01562

    • CF16 Significant Mgt (Desgntd Investment Business) (26 Feb 2007 to 11 Sep 2007)
  • Simon Hill

    IRN SXH01762

    • CF19 Significant Mgt (Financial Resources) (24 Feb 2006 to 5 Jul 2007)
  • Simon Hunt

    IRN SXH01305

    • 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.