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.

  • Michael John Haworth

    IRN MJH01403

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (8 Jun 2006 to 31 Oct 2007)
    • CF4 Partner (8 Jun 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (8 Jun 2006 to 31 Oct 2007)
    • CF3 Chief Executive (8 Jun 2006 to 8 Dec 2019)
  • Nicolas Vilaseco

    IRN NXV01196

    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Apr 2022)
    • CF30 Customer (3 Jan 2017 to 30 May 2019)
    • CF10 Compliance Oversight (3 Jan 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2017 to 8 Dec 2019)
  • Oliver James Richmond Corner

    IRN OJC01006

    • CF30 Customer (1 Nov 2007 to 4 Mar 2011)
    • CF10 Compliance Oversight (8 Jun 2006 to 4 Mar 2011)
    • CF11 Money Laundering Reporting (8 Jun 2006 to 4 Mar 2011)
    • CF23 Corporate Finance Adviser (8 Jun 2006 to 31 Oct 2007)
    • CF4 Partner (8 Jun 2006 to 4 Mar 2011)
  • Rami Ajami

    IRN RXA01381

    • CF4 Partner (8 Jun 2006 to 31 Mar 2008)
  • Timothy Giles Simpkin

    IRN TGS01041

    • CF4 Partner (16 Aug 2013 to 5 Apr 2014)
    • CF30 Customer (16 Aug 2013 to 12 Oct 2018)

Recent activity

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

No changes recorded yet.