Date authorised
1 April 2013
Companies House
OC309528
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    6th Floor North
    20 Balderton Street
    London
    W1K 6TL
    UNITED KINGDOM
    Phone
    +442076475750
  • Complaints Contact

    6th Floor North
    20 Balderton Street
    London
    W1K 6TL
    UNITED KINGDOM
    Phone
    +442076475750

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, 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, 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, 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, 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, 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, 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, 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, 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, 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.
  • Manages Your Portfolio

    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, 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.

  • John Randle Alexander

    IRN JRA01052

    • CF30 Customer (1 Nov 2007 to 31 Mar 2017)
    • CF4 Partner (31 Mar 2005 to 31 Mar 2017)
    • CF27 Investment Management (31 Mar 2005 to 31 Oct 2007)
  • Jon-kit Chan

    IRN JXC06081

    • [FCA CF] Client dealing (29 Mar 2021 to 14 Jan 2022)
    • CF30 Customer (17 Sep 2018 to 8 Dec 2019)
  • Jonathan Charles Evans

    IRN JCE01018

    • CF30 Customer (1 Nov 2007 to 3 Feb 2010)
    • CF4 Partner (10 Oct 2007 to 4 Aug 2010)
    • CF27 Investment Management (27 Jun 2005 to 31 Oct 2007)
  • Michael James Eills Graham Bower

    IRN MJB01405

    • CF30 Customer (1 Nov 2007 to 31 Mar 2017)
    • CF27 Investment Management (31 Mar 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
  • Peter John Gardner

    IRN PJG01132

    • CF30 Customer (1 Nov 2007 to 1 Apr 2014)
    • CF26 Customer Trading (31 Mar 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (31 Mar 2005 to 9 Apr 2014)
    • CF4 Partner (31 Mar 2005 to 1 Apr 2014)
    • CF10 Compliance Oversight (31 Mar 2005 to 9 Apr 2014)
  • Poppy Alexandra Walker

    IRN PAW01257

    • CF30 Customer (11 Aug 2016 to 24 Aug 2017)
  • Richard Llewelyn Lamb

    IRN RLL01021

    • CF30 Customer (1 Nov 2007 to 1 Oct 2013)
    • CF21 Investment Adviser (31 Mar 2005 to 31 Oct 2007)
    • CF27 Investment Management (31 Mar 2005 to 31 Oct 2007)
    • CF4 Partner (31 Mar 2005 to 1 Oct 2013)
  • Robert George Royle

    IRN RGR01038

    • [FCA CF] Client dealing (since 29 Mar 2021)
    • CF30 Customer (10 Feb 2017 to 8 Dec 2019)
  • Roshni Ramesh Khemlani

    IRN RRK01010

    • CF30 Customer (10 Jun 2013 to 29 Sep 2015)
  • Russell Metcalfe

    IRN RXM02263

    • CF30 Customer (1 Feb 2012 to 12 Jan 2018)

Recent activity

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

No changes recorded yet.