Date authorised
1 December 2020
Companies House
11112120
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Willis Group
    51 Lime Street
    London
    City Of London
    EC3M 7DQ
    UNITED KINGDOM
    Phone
    +442039260333
  • Complaints Contact

    Willis Group
    51 Lime Street
    London
    City Of London
    EC3M 7DQ
    UNITED KINGDOM
    Phone
    +4402039260333

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.
  • Stockbroking

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.
  • Trades With You Directly

    For Retail (Investment), Personal pension scheme

    Show 1 limitation
    • · The firm is limited to dealing as a principal in investments, arranging (bringing about deals) in investments and making arrangements in investments in the rights under the scheme(s) it operates.
  • Runs Personal Pensions

    For Personal pension scheme

    Show 1 limitation
    • · The firm must not accept Self Invested Personal Pension (SIPP) transactions other than standard assets as set out in the List of Standard Assets in IPRU-INV 5.9.1. Direct property investment and term deposit accounts where these are only classified as non-standard assets by virtue of Note 1 to IPRU-INV 5.9.1 regarding liquidity within 30 days are however permitted SIPP transactions that the firm can accept.
  • Investment Setup

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.
  • Holds Your Assets

    For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

  • Alexander Hemingway

    IRN AXH03325

    • [FCA CF] CASS oversight function (since 23 Apr 2026)
  • Amy Kate Canning

    IRN AXC03380

    • [FCA CF] Manager of certification employee (10 Mar 2025 to 30 Apr 2026)
  • Benjamin Pollard

    IRN BXP01297

    • SMF3 Executive Director (5 Feb 2024 to 1 May 2026)
    • SMF1 Chief Executive (3 Oct 2023 to 1 May 2026)
  • Chak Yan Law

    IRN JXL01470

    • [FCA CF] Material risk taker (6 Mar 2023 to 31 Dec 2023)
  • Charlie Albert Norman Stagg

    IRN CXS00124

    • [FCA CF] Significant management (7 Mar 2023 to 31 Dec 2023)
    • [FCA CF] Material risk taker (7 Mar 2023 to 31 Dec 2023)
  • Chris Peake

    IRN CXP00504

    • [FCA CF] Significant management (22 Feb 2023 to 31 Dec 2023)
    • [FCA CF] Material risk taker (22 Feb 2023 to 31 Dec 2023)
  • David Ian White

    IRN DIW01014

    • [FCA CF] Significant management (16 Feb 2023 to 30 Nov 2023)
    • [FCA CF] Material risk taker (16 Feb 2023 to 30 Nov 2023)
  • David Martin

    IRN DXM00236

    • [FCA CF] Manager of certification employee (27 Sep 2023 to 30 Apr 2026)
  • David Morrish

    IRN DJM01434

    • [PRA CF] Significant risk taker or Material risk taker (26 Sep 2023 to 29 Aug 2025)
    • [FCA CF] CASS oversight function (26 Sep 2023 to 29 Aug 2025)
  • Dominic Manley

    IRN DXM00858

    • [FCA CF] Material risk taker (6 Mar 2023 to 31 Dec 2023)
    • [FCA CF] Significant management (6 Mar 2023 to 31 Dec 2023)

Recent activity

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

No changes recorded yet.