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.

  • Robert Dennis Ward

    IRN RDW01041

    • CF8 Apportionment and Oversight (29 Apr 2004 to 12 Sep 2006)
    • CF3 Chief Executive (29 Apr 2004 to 12 Sep 2006)
    • CF1 Director (1 Dec 2001 to 31 Dec 2006)
  • Robert Grant Argent

    IRN RGA01045

    • [FCA CF] Client dealing (since 12 Nov 2025)
  • Robert William Byrne

    IRN RWB01147

    • SMF3 Executive Director (9 Dec 2019 to 27 Apr 2020)
    • CF1 Director (30 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (2 Dec 2011 to 8 Dec 2019)
  • Robin Hurst King

    IRN RHK01008

    • CF21 Investment Adviser (1 Dec 2001 to 2 Sep 2003)
    • CF1 Director (1 Dec 2001 to 2 Sep 2003)
  • Sam Andrew Ingram

    IRN SAI01019

    • CF22 Investment Adviser (Trainee) (15 Feb 2007 to 2 May 2007)
  • Sander Willem Peter Bots

    IRN SWB01077

    • SMF3 Executive Director (since 15 Sep 2025)
    • SMF1 Chief Executive (since 15 Sep 2025)
    • CF1 Director (3 Apr 2014 to 16 Oct 2017)
    • CF30 Customer (7 Apr 2008 to 11 May 2018)
  • Scott James Thomson

    IRN SJT01274

    • [FCA CF] Client dealing (9 Dec 2019 to 17 Sep 2021)
    • CF30 Customer (13 Dec 2017 to 8 Dec 2019)
  • Scott Shipsey

    IRN SXS03383

    • [FCA CF] Client dealing (since 16 Sep 2025)
  • Sebastian Phil France

    IRN SPF01058

    • CF30 Customer (26 Jun 2018 to 30 Aug 2019)
  • Simon Frank Walters

    IRN SFW01026

    • CF10 Compliance Oversight (14 Dec 2006 to 7 Feb 2007)
    • CF11 Money Laundering Reporting (14 Dec 2006 to 7 Feb 2007)

Recent activity

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

No changes recorded yet.