Date authorised
1 April 2013
Companies House
OC320407
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4 Sloane Terrace
    London
    SW1X 9DQ
    UNITED KINGDOM
    Phone
    +4402031551980
  • Complaints Contact

    4 Sloane Terrace
    London
    SW1X 9DQ
    UNITED KINGDOM
    Phone
    +4402031551980

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, 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), Rolling spot forex contract, 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 Future, 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), Rolling spot forex contract, 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 Future, 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), Rolling spot forex contract, 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.

Approved individuals

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

  • Jason Roland Silm

    IRN JRS01341

    • SMF27 Partner (9 Dec 2019 to 9 Dec 2019)
    • CF30 Customer (20 Jun 2017 to 8 Dec 2019)
    • CF4 Partner (20 Jun 2017 to 8 Dec 2019)
  • Jason Silm

    IRN JXS00587

    • [FCA CF] Client dealing (since 24 Mar 2021)
  • Jeremy Thomas Alun-Jones

    IRN JTA01008

    • [FCA CF] Client dealing (since 23 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF29 Significant management (3 Jul 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jul 2015 to 8 Dec 2019)
    • CF4 Partner (24 Jul 2014 to 8 Dec 2019)
    • CF30 Customer (24 Jul 2014 to 8 Dec 2019)
  • Kathryn Ann Hughes

    IRN KAH01078

    • [FCA CF] Client dealing (5 Sep 2022 to 18 Oct 2024)
  • Kristen Weldon

    IRN KXE01059

    • [FCA CF] Client dealing (2 Oct 2023 to 17 Jul 2024)
  • Lucinda Mary Lloyd Kitching

    IRN LMW01070

    • CF30 Customer (21 May 2015 to 1 Aug 2017)
  • Mark Harvey Baker

    IRN MHB01029

    • CF30 Customer (1 Nov 2007 to 1 Apr 2018)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (2 Oct 2006 to 31 Mar 2018)
    • CF3 Chief Executive (2 Oct 2006 to 1 Apr 2018)
    • CF27 Investment Management (2 Oct 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
  • Robert Appleby

    IRN RXA02019

    • [FCA CF] Client dealing (since 23 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (1 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2015 to 8 Dec 2019)
  • Samuel Morgan Franklin

    IRN SMF01118

    • [FCA CF] Client dealing (24 Mar 2021 to 1 Nov 2022)
  • Sanjeev Sarkar

    IRN SXS01954

    • CF30 Customer (1 Nov 2007 to 31 Jan 2009)
    • CF27 Investment Management (8 May 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.