Date authorised
1 April 2013
Companies House
00871912
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), 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)

    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), 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)

    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), 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), 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)

    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), 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)

    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.

  • David Binnie

    IRN DXB01505

    • CF26 Customer Trading (12 Mar 2002 to 1 Sep 2006)
  • David Clifford Rayner

    IRN DCR01043

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

    IRN DGC01076

    • CF8 Apportionment and Oversight (14 Mar 2008 to 5 Mar 2009)
    • CF29 Significant management (14 Mar 2008 to 13 Oct 2011)
  • David Howard Maerz

    IRN DXM00410

    • [FCA CF] Material risk taker (1 Feb 2020 to 31 Dec 2022)
  • David James Bucknall

    IRN DJB01496

    • SMF1 Chief Executive (16 Jul 2020 to 1 Oct 2021)
    • SMF3 Executive Director (16 Jul 2020 to 1 Oct 2021)
    • CF1 Director (8 Dec 2014 to 1 Jan 2018)
    • CF28 Systems and controls (1 Nov 2007 to 22 Apr 2010)
    • CF14 Risk Assessment (22 Dec 2006 to 31 Oct 2007)
  • David John Laud

    IRN DJL01199

    • CF26 Customer Trading (12 Apr 2005 to 31 Dec 2005)
  • David John Nield

    IRN DJN01054

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 20 Feb 2006)
  • David Palmer

    IRN DXP01619

    • CF30 Customer (20 Aug 2009 to 13 Oct 2011)
  • David Paul Corthorn

    IRN DPC01071

    • CF26 Customer Trading (3 Jul 2002 to 14 Oct 2005)
  • David Stuart Haworth

    IRN DSH01048

    • CF26 Customer Trading (1 Dec 2001 to 9 May 2006)

Recent activity

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

No changes recorded yet.