Date authorised
14 August 2019
Companies House
OC423804
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Asticus Building
    21 Palmer Street
    London
    SW1H 0AD
    UNITED KINGDOM
    Phone
    +442072594800
  • Complaints Contact

    Asticus Building
    21 Palmer Street
    London
    SW1H 0AD
    UNITED KINGDOM
    Phone
    +442035988181

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, 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 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.
  • Stockbroking

    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.
  • 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.
  • Manages Your Portfolio

    For 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.

  • . CLI Holdings II Limited

    IRN XXC07082

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (14 Aug 2019 to 8 Dec 2019)
  • . Polus Capital Management Group Limited

    IRN XXC01287

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (14 Aug 2019 to 8 Dec 2019)
  • . Polus Capital Management Limited

    IRN XXC01286

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (14 Aug 2019 to 8 Dec 2019)
  • Andrew Lindsay Burke

    IRN ALB01099

    • [FCA CF] Manager of certification employee (6 Mar 2025 to 28 Feb 2026)
    • SMF27 Partner (1 Sep 2023 to 18 Feb 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2026)
    • CF30 Customer (14 Aug 2019 to 8 Dec 2019)
  • Ansumana Bai-Marrow

    IRN AXB21940

    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jun 2021 to 2 Nov 2023)
    • SMF16 Compliance Oversight (3 Jun 2021 to 2 Nov 2023)
  • Dorota Holowiak

    IRN DXH02203

    • SMF16 Compliance Oversight (14 Feb 2024 to 30 May 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (14 Feb 2024 to 30 May 2025)
  • Harris Chung

    IRN HXC00336

    • [FCA CF] Client dealing (since 3 Mar 2026)
  • John Peter Murphy

    IRN JPM01190

    • CF30 Customer (14 Aug 2019 to 16 Sep 2019)
  • John Stuart Walker

    IRN JSW01175

    • SMF9 Chair of the Governing Body (since 29 Jan 2024)
  • Jonathan White

    IRN JXW00470

    • [FCA CF] Client dealing (since 9 Dec 2019)

Recent activity

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

No changes recorded yet.