Delfinus LLP

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Addresses

The contact details this firm has registered with the FCA.

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

Investment Advice (no pensions)

For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

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

Michel Noel Joseph Akiki
IRN MXA00403
- [FCA CF] Client dealing (since 20 Apr 2021)
Nicolas Stanislas Beaujoin
IRN SXN01258
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- CF4 Partner (10 Apr 2019 to 8 Dec 2019)
- CF30 Customer (10 Apr 2019 to 8 Dec 2019)
Pierre Gilles Graham
IRN PGG01029
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- SMF27 Partner (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF10 Compliance Oversight (10 Apr 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (10 Apr 2019 to 8 Dec 2019)
- CF4 Partner (10 Apr 2019 to 8 Dec 2019)
- CF30 Customer (10 Apr 2019 to 8 Dec 2019)
Stephen Douglas Carter
IRN SDC01054
- [FCA CF] Client dealing (1 Aug 2024 to 4 Mar 2025)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.