Date authorised
1 April 2013
Companies House
OC318745
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    71
    Queen Victoria Street
    London
    EC4V 4BE
    UNITED KINGDOM
    Phone
    +447876183844
  • Complaints Contact

    71
    Queen Victoria Street
    London
    EC4V 4BE
    UNITED KINGDOM
    Phone
    +447876183844

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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.

  • . Greenstone Resources (UK) Ltd

    IRN XXG01121

    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (16 Aug 2013 to 8 Dec 2019)
  • . Strata Holdings Limited

    IRN XXS01045

    • CF4 Partner (8 Jun 2006 to 4 Mar 2010)
  • . Strata Limited

    IRN XXS01043

    • CF4 Partner (8 Jun 2006 to 8 Aug 2013)
  • Francois Jean Du Plessis

    IRN FJD01034

    • CF10 Compliance Oversight (14 Mar 2011 to 2 Jan 2017)
    • CF11 Money Laundering Reporting (14 Mar 2011 to 2 Jan 2017)
    • CF4 Partner (5 Jan 2010 to 5 Apr 2014)
  • Graeme John Weeks

    IRN GJW01139

    • CF30 Customer (16 Aug 2013 to 21 Aug 2017)
    • CF4 Partner (16 Aug 2013 to 5 Apr 2014)
  • James Comfort

    IRN JXC00717

    • SMF16 Compliance Oversight (since 11 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 May 2022)
  • James Edward Trutch Kelly

    IRN JEK01046

    • CF30 Customer (16 Aug 2013 to 1 Nov 2014)
    • CF4 Partner (16 Aug 2013 to 5 Apr 2014)
  • Mark Raymond Sawyer

    IRN MXS01517

    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (16 Aug 2013 to 8 Dec 2019)
    • CF4 Partner (16 Aug 2013 to 8 Dec 2019)
  • Mark Sawyer

    IRN MXS00431

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Michael Haworth

    IRN MXH00387

    • [FCA CF] Client dealing (since 9 Dec 2019)

Recent activity

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

No changes recorded yet.