Date authorised
1 April 2013
Companies House
03052018
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Commodity Quay
    St Katharine Docks
    London
    E1W 1BF
    UNITED KINGDOM
    Phone
    +4402073340000
  • Complaints Contact

    Commodity Quay
    St Katharine Docks
    London
    E1W 1BF
    UNITED KINGDOM
    Phone
    +4402073340000

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, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), 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), Emissions Allowance, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Spread Bet

    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, Retail (Investment), 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), Emissions Allowance, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Spread Bet

    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 Eligible Counterparty, Professional, Retail (Investment), 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), Emissions Allowance, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Spread Bet

    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, Retail (Investment), 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), Emissions Allowance, 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 (Contractually Based Investments), Rights to or interests in investments (Security), Spread Bet

    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.

  • Mark James Richardson

    IRN MJR01213

    • CF1 Director (1 Dec 2001 to 30 Nov 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2002)
  • Mark Peter Mitchell

    IRN MPM01057

    • CF30 Customer (1 Nov 2007 to 2 Aug 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Martin Jonathan Farr

    IRN MJF01330

    • CF30 Customer (12 Jun 2018 to 27 Nov 2019)
  • Martin Scott Sanders

    IRN MSS01123

    • CF30 Customer (1 Nov 2007 to 16 Dec 2011)
    • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Feb 2007 to 7 Aug 2007)
  • Matthew Dominic Brown

    IRN MDB01163

    • [FCA CF] Manager of certification employee (since 17 Jan 2025)
    • [FCA CF] Significant management (since 17 Jan 2025)
    • [FCA CF] Client dealing (since 17 Jan 2025)
  • Max Krishan Nijhawan

    IRN MKN01007

    • CF30 Customer (20 Dec 2012 to 11 Apr 2013)
  • Max Sebastian Lee

    IRN MSL01049

    • CF30 Customer (9 Nov 2007 to 30 Apr 2011)
  • Mels Boer

    IRN MXB01906

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF21 Investment Adviser (16 May 2003 to 31 Oct 2007)
  • Michael Ernesto Morenas

    IRN MEM01133

    • CF30 Customer (6 Jun 2012 to 18 Oct 2017)
  • Michael Giles Grimwade

    IRN MGG01020

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.