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.

  • Daniel Richard Hambrick

    IRN DRH01160

    • CF30 Customer (8 Sep 2010 to 6 Mar 2016)
  • Darren Burchett

    IRN DMB01139

    • CF21 Investment Adviser (21 May 2002 to 31 Mar 2004)
  • Daryl Francis Jessup

    IRN DFJ01008

    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2003)
  • David George Daniel

    IRN DGD01048

    • SMF21 EEA Branch Senior Manager (EBSM) (26 Oct 2016 to 8 Sep 2017)
    • CF30 Customer (17 Sep 2012 to 6 Mar 2016)
  • David Hawa

    IRN DXH01307

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2002)
  • David John Morgan

    IRN DJM01376

    • CF17 Significant Mgt (Other Business Operations) (27 Oct 2003 to 22 Dec 2003)
    • CF16 Significant Mgt (Desgntd Investment Business) (23 Jul 2003 to 27 Oct 2003)
    • CF21 Investment Adviser (10 Apr 2002 to 22 Dec 2003)
  • David Leslie Allen

    IRN DLA01016

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (30 Jan 2007 to 31 Oct 2007)
  • David Nigel Battley

    IRN DNB01033

    • CF21 Investment Adviser (28 Jul 2003 to 24 Sep 2004)
  • David Owens

    IRN DXO01062

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2005)
  • David Simon Rindelov

    IRN DSR01066

    • CF30 Customer (1 Oct 2008 to 25 Nov 2009)

Recent activity

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

No changes recorded yet.