Date authorised
1 April 2013
Companies House
OC324721
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Rex House
    4th Floor
    4-12 Regent Street
    London
    SW1Y 4PE
    UNITED KINGDOM
    Phone
    +4407973660718
  • Complaints Contact

    Rex House
    4th Floor
    4-12 Regent Street
    London
    SW1Y 4PE
    UNITED KINGDOM
    Phone
    +4407973660718

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 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.
  • Arranges Asset Safekeeping

    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 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.

  • Christian Stuerwald

    IRN CXS01861

    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (16 Feb 2011 to 8 Dec 2019)
    • CF4 Partner (16 Feb 2011 to 8 Dec 2019)
  • Leslie Charles Perrin

    IRN LCP01021

    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (16 Feb 2011 to 8 Dec 2019)
    • CF4 Partner (16 Feb 2011 to 8 Dec 2019)
  • Mark Andrew Wells

    IRN MAW01138

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (15 Jun 2007 to 31 Oct 2007)
    • CF3 Chief Executive (15 Jun 2007 to 8 Dec 2019)
    • CF27 Investment Management (15 Jun 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
    • CF4 Partner (15 Jun 2007 to 8 Dec 2019)
  • Michael Robert Smith

    IRN MRS01119

    • 14. Managing investments
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (15 Jun 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jun 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jun 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
    • CF27 Investment Management (15 Jun 2007 to 31 Oct 2007)
  • Robert Edward Champney

    IRN REC01045

    • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • CF21 Investment Adviser (5 Sep 2007 to 31 Oct 2007)
  • Sinisa Jurasic

    IRN SXJ01226

    • CF30 Customer (24 Jan 2008 to 30 Jun 2010)

Recent activity

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

No changes recorded yet.