Date authorised
1 April 2013
Companies House
OC340854
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Smithson Plaza
    St James's Street
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +4402070249800
  • Complaints Contact

    Smithson Plaza
    St James's Street
    London
    SW1A 1HA
    UNITED KINGDOM
    Phone
    +4402070249800

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, 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), 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, 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), 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.
  • Arranges Asset Safekeeping

    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.
  • Stockbroking

    For Eligible Counterparty, Professional, 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), 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.
  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, 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), 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, 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), 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.
  • Holds Your Assets

    For Eligible Counterparty, Professional, 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), 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 James Blake

    IRN MJB01570

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF3 Chief Executive (21 May 2014 to 8 Dec 2019)
    • CF30 Customer (31 Jul 2009 to 8 Dec 2019)
    • CF4 Partner (31 Jul 2009 to 8 Dec 2019)
  • Param Rajiv Barodia

    IRN PXB00619

    • [FCA CF] Client dealing (4 Sep 2023 to 24 Dec 2024)
  • Paul Driver

    IRN PXD00253

    • Director of firm who is not a certification employee or a SMF manager (since 11 Apr 2022)
  • Ravindra Eamonn Monteiro

    IRN REM01098

    • SMF27 Partner (since 4 Aug 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (28 Mar 2014 to 8 Dec 2019)
  • Richard James Shaw

    IRN RJS01474

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (16 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (16 May 2012 to 8 Dec 2019)
  • Richard Penston

    IRN RXP02289

    • SMF27 Partner (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
    • CF30 Customer (1 Jun 2016 to 8 Dec 2019)
    • CF4 Partner (1 Jun 2016 to 8 Dec 2019)
  • Sam Oliver Ellis

    IRN SXE00231

    • [FCA CF] Client dealing (3 Oct 2022 to 30 Apr 2024)
  • Sarah Penelope Hale

    IRN SPH01064

    • CF10a CASS Oversight function (28 Sep 2016 to 3 Nov 2017)
    • CF11 Money Laundering Reporting (28 Sep 2016 to 3 Nov 2017)
    • CF10 Compliance Oversight (28 Sep 2016 to 3 Nov 2017)
    • CF4 Partner (7 May 2014 to 31 Aug 2018)
    • CF28 Systems and controls (31 Jul 2009 to 3 Nov 2017)
  • Simon Paul Jobson

    IRN SPJ01063

    • CF30 Customer (9 Feb 2011 to 27 Apr 2015)
  • William John Jenkins

    IRN WJJ01012

    • CF10a CASS Oversight function (1 Oct 2011 to 28 Sep 2016)
    • CF10 Compliance Oversight (31 Jul 2009 to 28 Sep 2016)
    • CF11 Money Laundering Reporting (31 Jul 2009 to 28 Sep 2016)

Recent activity

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

No changes recorded yet.