Fraser Finance Limited

Date authorised
1 April 2013
Companies House
02907796
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    45 Pall Mall
    London
    SW1Y 5JG
    UNITED KINGDOM
    Phone
    +442079307797
    Web
    https://www.fraserfinance.com

  • Complaints Contact

    45 Pall Mall
    London
    SW1Y 5JG
    UNITED KINGDOM
    Phone
    +4402076619331

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional, Retail (Investment)

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), 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), 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), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" 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, Retail (Investment), 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), 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), Share, Unit, Warrant

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

  • Investment Setup

    For Eligible Counterparty, Professional, Retail (Investment), 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), 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), Share, Unit, Warrant

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

Approved individuals

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

  • Alexander Douglas Francis Vaughan

    IRN ADV01013

    • CF30 Customer (1 Nov 2007 to 4 Dec 2007)
    • CF23 Corporate Finance Adviser (8 Dec 2005 to 31 Oct 2007)
  • Andreas Cser

    IRN AXC01452

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (5 Jun 2008 to 7 Dec 2011)
  • Benjamin Akwasi Agyeman

    IRN BAA01014

    • CF30 Customer (1 Nov 2007 to 26 Mar 2009)
    • CF23 Corporate Finance Adviser (3 Nov 2005 to 31 Oct 2007)
  • Christoph With

    IRN CXW01192

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (18 Feb 2013 to 8 Dec 2019)
  • Claudio Rojas

    IRN CRR01024

    • CF1 Director (3 Dec 2003 to 1 Nov 2005)
  • Guillaume Bonneton

    IRN GXB01257

    • CF1 Director (19 Oct 2005 to 12 Apr 2006)
    • CF23 Corporate Finance Adviser (19 Oct 2005 to 12 Apr 2006)
  • John Kevin Farrell

    IRN JKF01013

    • CF30 Customer (1 Nov 2007 to 20 Dec 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 11 Jan 2007)
    • CF3 Chief Executive (1 Dec 2001 to 11 Jan 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Jan 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 11 Jan 2007)
    • CF1 Director (1 Dec 2001 to 20 Dec 2007)
  • Maxim Michael Seltzer

    IRN MMS01028

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
  • Nicholas Anthony Field-Johnson

    IRN NAF01017

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF4 Partner (AR) (since 15 Feb 2011)
    • CF30 Customer (since 1 Nov 2007)
    • CF10 Compliance Oversight (4 Aug 2009 to 8 Dec 2019)
    • CF1 Director (27 Oct 2003 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (27 Oct 2003 to 31 Oct 2007)
  • Olivier Raymond Koechlin

    IRN ORK01002

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF4 Partner (AR) (since 28 Feb 2011)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (19 Oct 2005 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (19 Oct 2005 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.