Date authorised
22 December 1988
Companies House
00028472
Last scraped
3 weeks ago
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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.

  • Susan Elizabeth Louise Williams

    IRN SEW01048

    • CF16 Significant Mgt (Desgntd Investment Business) (30 Jun 2003 to 1 Oct 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 8 Feb 2005)
    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 30 Jun 2003)
  • Sven Johan Daniel Johansson

    IRN SJJ01094

    • CF30 Customer (22 Dec 2008 to 30 Jun 2011)
  • Syed Adeel Hussain

    IRN SAH01213

    • CF30 Customer (1 Nov 2007 to 30 Nov 2008)
    • CF22 Investment Adviser (Trainee) (9 Aug 2007 to 31 Oct 2007)
  • Terry George Barton

    IRN TGB01022

    • CF30 Customer (1 Nov 2007 to 13 Jun 2014)
    • CF21 Investment Adviser (14 Mar 2002 to 31 Oct 2007)
  • Therdthai Jo Jo Thirasilpa

    IRN JXT01290

    • [FCA CF] Manager of certification employee (since 1 Apr 2024)
    • [FCA CF] Material risk taker (since 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
  • Thomas Borg Dideriksen

    IRN TBD01006

    • CF16 Significant Mgt (Desgntd Investment Business) (23 May 2002 to 30 Jun 2006)
    • CF21 Investment Adviser (23 May 2002 to 12 Jul 2007)
  • Thomas Colding-Jorgensen

    IRN TXC01117

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Sep 2005)
  • Thomas Vorbeck

    IRN TXV01020

    • CF21 Investment Adviser (1 Dec 2001 to 24 Sep 2003)
  • Timothy Nicholas Whipman

    IRN TNW01006

    • CF30 Customer (1 May 2012 to 29 Jan 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Timothy Richard Kirby

    IRN TRK01010

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 15 Dec 2004)

Recent activity

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

No changes recorded yet.