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.

  • Hugh McNicol

    IRN HXM00029

    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)
  • Hugh O'Connor

    IRN HXO09547

    • SMF24 Chief Operations (6 Feb 2019 to 6 Feb 2019)
  • Iain Wright

    IRN IXW01156

    • SMF7 Group Entity Senior Manager (7 Apr 2020 to 19 May 2022)
  • Ian Charles Peter Sharp

    IRN ICS00001

    • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)
  • Ian David Winterbotham

    IRN IDW00003

    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2002)
  • Ian Edward Watson

    IRN IEW00007

    • [FCA CF] Material risk taker (since 29 Sep 2023)
    • [FCA CF] Significant management (since 29 Sep 2023)
    • SMF18 Other Overall Responsibility (27 Nov 2020 to 5 Jul 2023)
  • Ian Gilmour

    IRN IXG01040

    • Responsible for Insurance Mediation (1 Jan 2006 to 22 May 2014)
    • CF3 Chief Executive (1 Dec 2001 to 22 May 2014)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 22 May 2014)
  • Ian Gregory Taylor

    IRN IGT00007

    • CF21 Investment Adviser (1 Dec 2001 to 28 Mar 2002)
  • Ian James Shaw

    IRN IJS00002

    • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)
  • Ian James Williamson

    IRN IJW00006

    • CF21 Investment Adviser (1 Dec 2001 to 25 Mar 2002)

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.