Duke Street V Limited

Date authorised
1 April 2013
Companies House
04071494
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Duke Street
    Carrington House
    103 Wigmore Street
    London
    Westminster
    W1B 5SE 1QS
    UNITED KINGDOM
    Phone
    +4402076638522
    Web
    https://www.dukestreet.com

  • Complaints Contact

    Duke Street
    Carrington House
    126-130 Regent Street
    London
    Westminster
    W1B 5SE
    UNITED KINGDOM
    Phone
    +442076638500

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, 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, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  • Stockbroking

    For Eligible Counterparty, Professional, 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, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 3 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to transaction-only activities.

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, 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, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Holds Your Assets

    For Eligible Counterparty, Professional, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

Approved individuals

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

  • Julian Richard Christopher Brock

    IRN JRB01114

    • CF27 Investment Management (1 Dec 2001 to 29 Oct 2005)
    • CF1 Director (1 Dec 2001 to 29 Oct 2005)
  • Lilimarlen Hoff

    IRN LXH01322

    • CF11 Money Laundering Reporting (9 Nov 2006 to 1 May 2013)
    • CF10 Compliance Oversight (9 Nov 2006 to 1 May 2013)
  • Miles Marius Cresswell-Turner

    IRN MMC01023

    • SMF3 Executive Director (9 Dec 2019 to 9 Dec 2019)
    • CF1 Director (3 Dec 2008 to 8 Dec 2019)
  • Nikola Jan Sutherland

    IRN NXS01160

    • CF10a CASS Oversight function (1 Oct 2011 to 4 Jul 2012)
    • CF1 Director (15 Oct 2009 to 31 Dec 2012)
    • CF28 Systems and controls (15 Oct 2009 to 12 Jul 2012)
    • CF30 Customer (15 Oct 2009 to 31 Dec 2012)
  • Patrick Ronald Vernon Maxwell

    IRN PRM01069

    • CF1 Director (1 Dec 2001 to 31 Jul 2003)
    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2003)
  • Paul James Adams

    IRN PXA00104

    • SMF3 Executive Director (since 13 May 2021)
    • [FCA CF] Client dealing (since 13 May 2021)
  • Peter Lance Taylor

    IRN PLT01010

    • CF10a CASS Oversight function (2 Jul 2012 to 30 Jan 2015)
    • CF30 Customer (1 Nov 2007 to 30 Jun 2019)
    • CF8 Apportionment and Oversight (6 Sep 2004 to 31 Mar 2009)
    • CF3 Chief Executive (6 Sep 2004 to 30 Jun 2019)
    • CF1 Director (1 Dec 2001 to 30 Jun 2019)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Stuart Richard John Hall

    IRN SRH01167

    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (6 Oct 2015 to 25 Jan 2016)
    • CF10a CASS Oversight function (2 Apr 2014 to 8 Dec 2019)
    • CF1 Director (26 Sep 2013 to 8 Dec 2019)
  • Stuart Russell McMinnies

    IRN SRM01096

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 13 Mar 2026)
    • CF1 Director (30 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (30 Jun 2016 to 8 Dec 2019)
  • Thomas James Buchan Scott

    IRN TJS01053

    • CF10 Compliance Oversight (1 May 2013 to 31 Jul 2014)
    • CF11 Money Laundering Reporting (1 May 2013 to 30 Sep 2015)
    • CF1 Director (1 Dec 2001 to 30 Sep 2015)
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Recent activity

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

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