Date authorised
1 April 2013
Companies House
00973271
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 37
    22 Bishopsgate
    London
    EC2N 4BQ
    UNITED KINGDOM
    Phone
    +4403456060708
  • Complaints Contact

    Level 37
    22 Bishopsgate
    London
    EC2N 4BQ
    UNITED KINGDOM
    Phone
    +4403456060708

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, 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 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), Government and public security, Life Policy, 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.
  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Manages Insurance Policies

    For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

  • Stockbroking

    For 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), Government and public security, Life Policy, 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.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), 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), Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract

    Show 3 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · The firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Issues Insurance

    For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

  • Runs Personal Pensions

  • Loan Servicing

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, 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.
  • Holds Your Assets

    For 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), Government and public security, Life Policy, 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.

  • David Robert Humphries

    IRN DRH00058

    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2001)
  • David Sutton

    IRN DXS00795

    • [FCA CF] Manager of certification employee (13 Feb 2023 to 8 Apr 2025)
    • [FCA CF] Significant management (13 Feb 2023 to 8 Apr 2025)
  • David Thomas Carter

    IRN DTC00003

    • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)
  • David Thompson Black

    IRN DTB00029

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Nov 2002)
  • David William Kerr Bowen

    IRN DWB00007

    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)
  • David Wilson Bradley

    IRN DWB01111

    • [FCA CF] Significant management (30 Mar 2020 to 31 Jan 2022)
  • Dean John Wilson

    IRN DXW00033

    • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2002)
  • Deborah Bond

    IRN DXB00223

    • [FCA CF] Manager of certification employee (since 8 Dec 2025)
    • [FCA CF] Significant management (since 27 Apr 2022)
  • Deborah Jayne Ibbotson

    IRN DJI00006

    • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)
  • Derek Cameron Popkes

    IRN DCP01077

    • SIMF7 Group Entity Senior Insurance Manager Function (8 Nov 2016 to 18 Dec 2017)
    • CF28 Systems and controls (3 Oct 2012 to 6 Mar 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.