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.

  • James Edward Mitchell

    IRN JEM01138

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
  • James Gardiner Adamson

    IRN JGA01018

    • CF30 Customer (21 Jun 2011 to 11 Oct 2013)
  • James Peter Mackintosh

    IRN JXM04348

    • [FCA CF] Material risk taker (since 1 Aug 2025)
  • Jan-Peter Emanuel Larsson

    IRN JEL01111

    • CF29 Significant management (1 Jun 2010 to 22 Nov 2010)
    • CF30 Customer (18 May 2010 to 22 Nov 2010)
  • Jean-Pierre Darque

    IRN JXD01261

    • CF30 Customer (1 Nov 2007 to 30 Apr 2011)
    • CF17 Significant Mgt (Other Business Operations) (30 Jul 2004 to 31 May 2006)
    • CF21 Investment Adviser (4 Jan 2002 to 31 Oct 2007)
  • Jeffrey Gregor Folkins

    IRN JGF01022

    • CF21 Investment Adviser (1 Dec 2001 to 17 Sep 2004)
  • Jennifer Lynn Simpson

    IRN JLS01088

    • CF21 Investment Adviser (1 Dec 2001 to 7 Feb 2003)
  • Jens Bech Laursen

    IRN JBL01023

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2006)
  • Jens Christian Plenov

    IRN JCP01073

    • [FCA CF] Material risk taker (7 Mar 2016 to 23 Sep 2021)
    • [FCA CF] Significant management (7 Mar 2016 to 23 Sep 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 23 Sep 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 23 Sep 2021)
    • CF30 Customer (1 Oct 2013 to 6 Mar 2016)
  • Jens Frederik Nielsen

    IRN JFN01009

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • 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.