Date authorised
1 November 2017
Companies House
10452796
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    19-21 Catherine Place
    London
    SW1E 6DX
    UNITED KINGDOM
    Phone
    +442038838060
  • Complaints Contact

    19-21 Catherine Place
    London
    SW1E 6DX
    UNITED KINGDOM
    Phone
    +442038838060

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, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Rights to or interests in investments (Security), Unit

    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, Commodity Future, Commodity option and option on commodity future, 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), Rolling spot forex contract, Share, Spread Bet, 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, Rights to or interests in investments (Security), Unit

    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.
  • Manages Your Portfolio

    For Professional, Certificates representing certain security, 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), Rolling spot forex contract, Share, Unit

    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.

  • Reay Diarmaid Anthony Kelly

    IRN RDK01020

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Mar 2023)
    • CF11 Money Laundering Reporting (1 Nov 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2017 to 8 Dec 2019)
    • CF1 Director (1 Nov 2017 to 22 Feb 2018)
  • Richard David Straker-Smith

    IRN RDS01057

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
  • Sam Oliver Ellis

    IRN SXE00231

    • [FCA CF] Client dealing (3 Oct 2022 to 4 Oct 2022)
  • paul phelan

    IRN PXP02010

    • SMF16 Compliance Oversight (since 24 Jan 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (1 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.