City & Westminster Corporate Finance LLP

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Retail (Investment), 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), 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), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Christopher Martin Parr
IRN CMP01112
- CF30 Customer (1 Apr 2008 to 17 Feb 2014)
- CF4 Partner (1 Apr 2008 to 17 Feb 2014)
Douglas Wright
IRN DXW01663
- CF4 Partner (1 Apr 2008 to 12 Aug 2013)
- CF30 Customer (1 Apr 2008 to 12 Aug 2013)
Gerard Maurice Thompson
IRN GMT01051
- SMF27 Partner (9 Dec 2019 to 23 Apr 2021)
- CF4 Partner (1 Apr 2008 to 8 Dec 2019)
- CF30 Customer (1 Apr 2008 to 8 Dec 2019)
John Joseph May
IRN JJM01205
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF4 Partner (1 Apr 2008 to 8 Dec 2019)
- CF30 Customer (1 Apr 2008 to 8 Dec 2019)
Nicola Baldwin
IRN NXB01694
- CF30 Customer (18 Aug 2014 to 8 Dec 2019)
Stephen Anton Komlosy
IRN SAK01101
- CF30 Customer (1 Apr 2008 to 30 Jun 2015)
- CF4 Partner (1 Apr 2008 to 30 Jun 2015)
Stuart James Adam
IRN SJA01161
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- CF10 Compliance Oversight (1 Apr 2008 to 8 Dec 2019)
- CF11 Money Laundering Reporting (1 Apr 2008 to 8 Dec 2019)
- CF30 Customer (1 Apr 2008 to 8 Dec 2019)
- CF4 Partner (1 Apr 2008 to 8 Dec 2019)

Smaller firms operating under this firm's FCA authorisation.

States Bridge Capital Limited (no longer appointed)
FRN 929757 · Appointed 13 Jul 2020 · Until 24 Aug 2022
Markab Securities (UK) Limited (no longer appointed)
FRN 578760 · Appointed 18 May 2018 · Until 8 Jan 2020

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.