ESE CAPITAL 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.

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

Ian David Rivers
IRN IDR01030
- CF1 Director (18 Jun 2008 to 17 Aug 2012)
Jonathan Victor King
IRN JXK01628
- CF1 Director (1 Aug 2012 to 24 May 2013)
- CF12 Actuarial (1 Aug 2012 to 1 Aug 2012)
- CF11 Money Laundering Reporting (1 Aug 2012 to 24 May 2013)
- CF10 Compliance Oversight (1 Aug 2012 to 24 May 2013)
Martin Timothy Hodges
IRN MTH01061
- CF1 Director (20 Aug 2008 to 31 Aug 2009)
Matthew Stuart Baker
IRN MSB01157
- SMF16 Compliance Oversight (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
- CF1 Director (AR) (17 Sep 2015 to 21 Jun 2017)
- CF30 Customer (15 Jun 2015 to 8 Dec 2019)
- CF11 Money Laundering Reporting (24 May 2013 to 8 Dec 2019)
- CF10 Compliance Oversight (24 May 2013 to 8 Dec 2019)
- CF1 Director (7 Nov 2012 to 8 Dec 2019)
Paul Anthony Francis
IRN PAF01109
- CF8 Apportionment and Oversight (18 Jun 2008 to 31 Mar 2009)
- CF1 Director (18 Jun 2008 to 30 Jan 2013)
- CF10 Compliance Oversight (18 Jun 2008 to 30 Jan 2013)
- CF11 Money Laundering Reporting (18 Jun 2008 to 30 Jan 2013)
- CF3 Chief Executive (18 Jun 2008 to 30 Jan 2013)

Smaller firms operating under this firm's FCA authorisation.

Intro Capital Ltd (no longer appointed)
FRN 617202 · Appointed 14 Mar 2014 · Until 19 Nov 2018
Falcon International Estates Ltd (no longer appointed)
FRN 586894 · Appointed 24 Aug 2012 · Until 27 Jul 2017

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.