Date authorised
29 November 2013
Companies House
08395855
Last scraped
2 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
    +443456060708
  • Complaints Contact

    Level 37
    22 Bishopsgate
    London
    EC2N 4BQ
    UNITED KINGDOM
    Phone
    +443456060708

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), 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 Retail (Investment), Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

  • Trades With You Directly

    For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

    Show 2 limitations
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) it operates” on the permission
    • · 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.
  • Runs Personal Pensions

    For Personal pension scheme

  • Investment Setup

    For Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments, 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.

  • Alison Gammon

    IRN AXG00053

    • [FCA CF] Significant management (since 1 Feb 2024)
  • Allan John Oxborrow

    IRN AJO01079

    • SMF5 Head of Internal Audit (10 Dec 2018 to 5 Jun 2019)
    • SIMF5 Head of Internal Audit Function (20 Jun 2018 to 9 Dec 2018)
  • Andrew Baker

    IRN AXB03276

    • [FCA CF] Manager of certification employee (since 11 Dec 2023)
  • Andrew James Colvin

    IRN AJC01425

    • [FCA CF] Significant management (6 Apr 2021 to 29 Aug 2023)
  • Ann Mary Muldoon

    IRN AMM01344

    • CF28 Systems and controls (29 Nov 2013 to 31 Aug 2015)
  • Anthony Lee Hynes

    IRN ALH01072

    • [FCA CF] Significant management (since 2 May 2023)
  • Ashleigh Kewney

    IRN AMK01108

    • [FCA CF] Significant management (since 29 Jan 2021)
  • Aston Robert Goodey

    IRN AXG08538

    • [FCA CF] Significant management (6 Jan 2021 to 20 Jan 2022)
    • SMF18 Other Overall Responsibility (3 Jul 2019 to 24 Aug 2020)
  • Brian Jonathan Magnus

    IRN BJM01095

    • CF2 Non Executive Director (29 Nov 2013 to 6 Mar 2016)
  • Caroline A Dibbs

    IRN CAD01163

    • SMF3 Executive Director (since 16 May 2022)
    • SMF1 Chief Executive (since 3 Feb 2022)
    • [FCA CF] Manager of certification employee (27 Nov 2023 to 22 Dec 2025)

Recent activity

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

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