Date authorised
22 December 1988
Companies House
00028472
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Level 7
    110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402074108000
  • Complaints Contact

    Level 7
    110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402074108000

What this firm is allowed to do

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

  • Bank Deposits

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Unit, Warrant

  • Authorised to Operate

  • Arranges Investments

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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, Unit, Warrant

  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, 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, Unit, Warrant

  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, 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, Unit, Warrant

    Show 1 limitation
    • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
  • Investment Setup

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, 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 (Security), Rolling spot forex contract, Share, Unit, Warrant

Approved individuals

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

  • Adam Max Caplin

    IRN AMC01085

    • CF30 Customer (25 Aug 2015 to 6 Mar 2016)
  • Aideen McDonald

    IRN AXM01710

    • CF21 Investment Adviser (1 Dec 2001 to 8 Jul 2004)
  • Alan Tun

    IRN AXT01209

    • CF11 Money Laundering Reporting (23 Mar 2006 to 31 Oct 2009)
    • CF10 Compliance Oversight (23 Mar 2006 to 5 Aug 2008)
  • Alexander Loedding

    IRN AXL01556

    • [FCA CF] Material risk taker (1 Jan 2023 to 31 Aug 2024)
    • [FCA CF] Client dealing (7 Mar 2016 to 31 Aug 2024)
    • CF30 Customer (7 Apr 2014 to 6 Mar 2016)
  • Alistair David Jeffrey Palmar

    IRN ADP01061

    • CF30 Customer (1 Nov 2007 to 6 Aug 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 6 May 2003)
  • Anders Barron Iversen

    IRN ABI01001

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 27 Feb 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 29 Sep 2003)
  • Anders Christian Vinther

    IRN ACV01006

    • SMF19 Head of Overseas Branch/Head of Overseas (14 Dec 2022 to 6 Sep 2024)
    • SMF21 EEA Branch Senior Manager (EBSM) (11 Sep 2022 to 14 Dec 2022)
    • [FCA CF] Client dealing (7 Mar 2016 to 19 Jan 2022)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 19 Jan 2022)
    • [FCA CF] Material risk taker (7 Mar 2016 to 19 Jan 2022)
    • [FCA CF] Significant management (7 Mar 2016 to 19 Jan 2022)
    • CF30 Customer (1 Dec 2015 to 6 Mar 2016)
  • Anders Mathias Carlson

    IRN MXC01387

    • CF21 Investment Adviser (1 Dec 2001 to 8 May 2002)
  • Andrew Mossford

    IRN AXM01892

    • CF23 Corporate Finance Adviser (25 Nov 2002 to 31 Jan 2003)
  • Andrew Rodney Thompson

    IRN ART01052

    • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2002)

Recent activity

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

No changes recorded yet.