Date authorised
1 April 2013
Companies House
OC306266
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    6th Floor
    Belgrave House
    76 Buckingham Palace Road
    London
    SW1W 9TQ
    UNITED KINGDOM
    Phone
    +4402073345300
  • Complaints Contact

    6th Floor
    Belgrave House
    76 Buckingham Palace Road
    London
    SW1W 9TQ
    UNITED KINGDOM
    Phone
    +4402073345300

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, Certificates representing certain security, 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), Share, Spread Bet, 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 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), Share, Spread Bet, 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 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), Share, Spread Bet, Unit, Warrant

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, 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 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), Share, Spread Bet, 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 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), Share, Spread Bet, Unit, Warrant

  • Holds Your Assets

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Spread Bet, Unit, Warrant

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Pierre Marie Alain de Sarrau

    IRN PMD01146

    • [FCA CF] Material risk taker (since 1 Jan 2024)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • CF30 Customer (9 Mar 2011 to 8 Dec 2019)
    • CF4 Partner (9 Mar 2011 to 9 Dec 2019)
  • Robert Antony Dundas Leeming

    IRN RAL01143

    • SMF27 Partner (9 Dec 2019 to 17 Sep 2023)
    • CF30 Customer (13 Dec 2010 to 8 Dec 2019)
    • CF4 Partner (25 Feb 2008 to 8 Dec 2019)
  • Roger Granville Pilgrim

    IRN RGP01022

    • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
    • CF27 Investment Management (29 Mar 2004 to 31 Oct 2007)
    • CF4 Partner (29 Mar 2004 to 30 Jun 2011)
  • Sami Kassam

    IRN SXK02948

    • CF30 Customer (22 Feb 2018 to 8 Dec 2019)
    • CF4 Partner (22 Feb 2018 to 9 Dec 2019)
  • Sebastian Rolf Kahm

    IRN SRK01060

    • CF4 Partner (17 Sep 2018 to 9 Dec 2019)
    • CF30 Customer (17 Sep 2018 to 8 Dec 2019)
  • Sheena Pattni

    IRN SXP02097

    • CF4 Partner (17 Jan 2017 to 9 Dec 2019)
    • CF30 Customer (17 Jan 2017 to 8 Dec 2019)
  • Simon Michael Drury

    IRN SMD01049

    • CF4 Partner (29 Mar 2004 to 30 Jun 2004)
    • CF27 Investment Management (29 Mar 2004 to 30 Jun 2004)
  • Sophie Elizabeth Maher

    IRN SEM01103

    • CF30 Customer (8 Oct 2013 to 2 Oct 2017)
    • CF4 Partner (8 Oct 2013 to 2 Oct 2017)
  • Stephan Maurice Morgan

    IRN SMM01107

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • [FCA CF] Material risk taker (since 31 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (29 Mar 2004 to 8 Dec 2019)
    • CF27 Investment Management (29 Mar 2004 to 31 Oct 2007)
  • Stephane Roland Etroy

    IRN SXE01108

    • CF30 Customer (1 Nov 2007 to 15 Sep 2015)
    • CF4 Partner (29 Mar 2004 to 15 Sep 2015)
    • CF27 Investment Management (29 Mar 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.