Date authorised
1 April 2013
Companies House
04112016
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    20
    Carlton House Terrace
    London
    Westminster
    SW1Y 5AN
    UNITED KINGDOM
    Phone
    +4402074397191
  • Complaints Contact

    20
    Carlton House Terrace
    London
    Westminster
    SW1Y 5AN
    UNITED KINGDOM
    Phone
    +4402074397191

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, Retail (Investment), Certificates representing certain security, 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), 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), 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, Retail (Investment), Certificates representing certain security, 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), 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), 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, Retail (Investment), Certificates representing certain security, 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), 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), 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.

  • Jamie Alexander Dugald Roxborough

    IRN JAR01268

    • CF30 Customer (29 Mar 2017 to 8 Dec 2019)
  • Jamie Moir

    IRN JXM00643

    • [FCA CF] Client dealing (11 Mar 2021 to 29 Dec 2023)
  • Jay Kim

    IRN JXK00204

    • [FCA CF] Material risk taker (16 Mar 2021 to 8 Aug 2022)
  • Jean Charles Francois Charpentier

    IRN JCC01075

    • CF30 Customer (1 Nov 2007 to 9 Aug 2016)
    • CF1 Director (4 Feb 2002 to 8 Jul 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Jean-Philippe Keravec

    IRN JXK01191

    • [FCA CF] Client dealing (31 Mar 2020 to 4 May 2020)
    • SMF3 Executive Director (9 Dec 2019 to 4 May 2020)
    • CF1 Director (28 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (6 Aug 2008 to 8 Dec 2019)
  • Jeffrey Edmund Couch

    IRN JEC01111

    • CF21 Investment Adviser (29 Jan 2004 to 12 Oct 2004)
  • Jeffrey James Griffiths

    IRN JJG01081

    • SMF3 Executive Director (since 15 May 2024)
    • [FCA CF] Manager of certification employee (since 31 Jul 2020)
    • [FCA CF] Client dealing (since 31 Jul 2020)
    • CF30 Customer (20 May 2016 to 8 Dec 2019)
  • Jennifer Tedesko

    IRN JXT00251

    • [FCA CF] Manager of certification employee (8 Aug 2022 to 5 Nov 2024)
    • [FCA CF] Material risk taker (31 Jul 2020 to 8 Aug 2022)
  • John George Henty Richmond

    IRN JGR01027

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2002)
  • Jonathan Brandwood

    IRN JPB01337

    • [FCA CF] Client dealing (since 31 Jul 2020)

Recent activity

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

No changes recorded yet.