Enterprise Investment Systems Ltd

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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.

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 Eligible Counterparty, Professional, Retail (Investment), Debenture, Rights to or interests in investments (Security), Share
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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 Eligible Counterparty, Professional, Retail (Investment), Debenture, Rights to or interests in investments (Security), Share
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Private Investment Funds

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

Ian Leslie Zant-Boer
IRN IXZ01006
- SMF3 Executive Director (since 18 Dec 2023)
- [FCA CF] Client dealing (since 7 Sep 2023)
James Prashan Fernando
IRN JXF00008
- SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jul 2020)
- SMF16 Compliance Oversight (since 14 Jul 2020)
Martin Smith
IRN MXS46791
- SMF9 Chair of the Governing Body (14 Jul 2020 to 16 Dec 2021)
Nigel Peter Grierson
IRN NPG01022
- [FCA CF] Client dealing (5 Jan 2022 to 19 Dec 2023)
- SMF3 Executive Director (22 Jun 2021 to 18 Dec 2023)
Stepan Galaev
IRN SXG46788
- [FCA CF] Client dealing (since 14 Jul 2020)
- SMF1 Chief Executive (since 14 Jul 2020)
- SMF3 Executive Director (since 14 Jul 2020)

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.