Date authorised
2 October 2017
Companies House
09797821
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    145 City Road
    London
    EC1V 1AZ
    UNITED KINGDOM
    Phone
    +442034882539
  • Complaints Contact

    145 City Road
    London
    EC1V 1AZ
    UNITED KINGDOM
    Phone
    +442034882539

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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

    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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

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

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

    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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit

    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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit

    Show 1 limitation
    • · 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), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

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

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

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

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

    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.

  • Harley Samuel Miller

    IRN HXM00240

    • Director of firm who is not a certification employee or a SMF manager (28 Jan 2022 to 1 Apr 2025)
  • James Bell

    IRN JXB01103

    • [FCA CF] Significant management (10 Jun 2022 to 1 Dec 2023)
    • [FCA CF] Material risk taker (10 Jun 2022 to 1 Dec 2023)
  • James Phillips

    IRN JXP00875

    • [FCA CF] Functions requiring qualifications (3 Nov 2023 to 12 Jan 2024)
  • Jennifer Pearson

    IRN JXH00583

    • [FCA CF] Functions requiring qualifications (28 Sep 2020 to 29 Sep 2021)
  • Jessica Waters

    IRN JXW00442

    • [FCA CF] Functions requiring qualifications (29 Dec 2020 to 29 Sep 2021)
  • John Duncan Baines

    IRN JXB01604

    • Director of firm who is not a certification employee or a SMF manager (14 Dec 2022 to 1 Apr 2025)
  • Jonathan Chan

    IRN JXC00902

    • [FCA CF] Material risk taker (1 May 2022 to 5 May 2023)
    • [FCA CF] Significant management (1 May 2022 to 5 May 2023)
  • Kai Kit Fung

    IRN KXF00230

    • [FCA CF] Material risk taker (since 1 Sep 2025)
    • [FCA CF] Significant management (since 1 Sep 2025)
  • Kristian Hayes

    IRN KXH00529

    • 17. Administrative functions in relation to managing investments
    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Client dealing (since 15 May 2025)
    • [FCA CF] Functions requiring qualifications (since 15 May 2025)
  • Laura-Jane O'Shea

    IRN LXO00132

    • SMF3 Executive Director (13 May 2025 to 31 Dec 2025)

Recent activity

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

No changes recorded yet.