Date authorised
8 September 2017
Companies House
10506392
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    54 Charlotte Street
    London
    W1T 2NS
    UNITED KINGDOM
    Phone
    +442039602320
  • Complaints Contact

    54 Charlotte Sreet
    London
    W1T 2NS
    UNITED KINGDOM
    Phone
    +442039602320

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • 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, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, 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.
    • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis
  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

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

  • Peter Dermot Mayes

    IRN PDM01074

    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (9 Dec 2019 to 24 Mar 2025)
    • CF1 Director (8 Sep 2017 to 8 Dec 2019)
    • CF30 Customer (8 Sep 2017 to 8 Dec 2019)
    • CF3 Chief Executive (8 Sep 2017 to 8 Dec 2019)
  • Peter John Hale

    IRN PJH01204

    • CF30 Customer (15 May 2019 to 8 Dec 2019)
  • Sandugash Aimanova

    IRN SXA01296

    • SMF3 Executive Director (since 13 Oct 2025)
  • Suzannah Jane Record

    IRN SXR13833

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Apr 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Apr 2025)
    • CF10 Compliance Oversight (3 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jul 2019 to 8 Dec 2019)
  • Timothy Bullman

    IRN TJB01122

    • [FCA CF] Client dealing (9 Dec 2020 to 4 Feb 2026)

Recent activity

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

No changes recorded yet.