Date authorised
1 April 2013
Companies House
05552284
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    78 Pall Mall
    London
    Westminster
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +447803477577
  • Complaints Contact

    78 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +447803477577

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, 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, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • Investment Setup

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

  • Alexandre Claudon

    IRN AXC03293

    • [FCA CF] Client dealing (30 Nov 2020 to 5 Aug 2022)
    • CF30 Customer (17 Oct 2017 to 8 Dec 2019)
  • Arnab Bhattasali

    IRN AXB02232

    • CF1 Director (AR) (12 May 2023 to 13 Mar 2024)
    • CF30 Customer (12 May 2023 to 13 Mar 2024)
    • [FCA CF] Client dealing (13 Mar 2023 to 23 Jan 2024)
  • Barry Robert Sagraves

    IRN BRS01034

    • CF1 Director (4 May 2008 to 3 Jun 2011)
    • CF30 Customer (13 Feb 2008 to 3 Jun 2011)
  • Benjamin Bridgway

    IRN BXB00295

    • [FCA CF] Client dealing (13 Feb 2023 to 6 Dec 2023)
  • Charlie May

    IRN CXM00721

    • [FCA CF] Client dealing (5 Aug 2022 to 13 Mar 2024)
  • Christopher Fitzwilliam-Lay

    IRN CXF01077

    • CF30 Customer (17 Dec 2012 to 24 Nov 2014)
  • Fahim Imam-Sadeque

    IRN FXI01005

    • [FCA CF] Client dealing (23 Mar 2021 to 1 Mar 2023)
  • Faiz Boustany

    IRN FXB01532

    • [FCA CF] Client dealing (30 Nov 2020 to 8 Oct 2021)
    • CF30 Customer (18 Jun 2019 to 8 Dec 2019)
  • Gina Linda Betschart

    IRN GLB01054

    • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
    • CF22 Investment Adviser (Trainee) (8 Mar 2007 to 31 Oct 2007)
  • James Jordan Heyworth Kitson

    IRN JJK01030

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Feb 2021)
    • SMF16 Compliance Oversight (since 24 Feb 2021)
    • SMF3 Executive Director (since 24 Feb 2021)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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