Date authorised
1 April 2013
Companies House
OC319297
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor, 15 Golden Square
    London
    W1F 9JG
    UNITED KINGDOM
    Phone
    +4402074783970
  • Complaints Contact

    4th Floor, 15 Golden Square
    London
    W1F 9JG
    UNITED KINGDOM
    Phone
    +4402074783970

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 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), 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, 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), 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.
  • Runs Investment Funds

  • Private Investment Funds

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David John Morton

    IRN DJM01283

    • CF30 Customer (1 Nov 2007 to 8 Jun 2009)
    • CF4 Partner (AR) (21 Nov 2006 to 30 Sep 2009)
    • CF4 Partner (1 Oct 2006 to 13 Nov 2008)
    • CF21 Investment Adviser (1 Oct 2006 to 31 Oct 2007)
  • David Rumpf

    IRN DXR01852

    • [FCA CF] Client dealing (22 Mar 2021 to 7 Mar 2022)
    • CF30 Customer (28 Jul 2016 to 8 Dec 2019)
  • Edward James Gay

    IRN EJG01046

    • [FCA CF] Material risk taker (since 1 Apr 2024)
    • [FCA CF] Client dealing (since 22 Mar 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (28 May 2013 to 8 Dec 2019)
    • CF30 Customer (3 May 2011 to 8 Dec 2019)
  • Eloise Sara Veljovic

    IRN EXV15380

    • CF30 Customer (24 May 2019 to 8 Dec 2019)
  • Gianfilippo Aldegheri

    IRN GXA01670

    • CF30 Customer (3 Jan 2018 to 14 Mar 2018)
  • Grant Michael Roberts

    IRN GMR01044

    • CF30 Customer (1 Nov 2007 to 8 Jun 2009)
    • CF4 Partner (AR) (21 Nov 2006 to 30 Sep 2009)
    • CF4 Partner (1 Oct 2006 to 13 Nov 2008)
    • CF21 Investment Adviser (1 Oct 2006 to 31 Oct 2007)
    • CF27 Investment Management (1 Oct 2006 to 31 Oct 2007)
  • Hanxuan Wang

    IRN HXW00223

    • [FCA CF] Client dealing (since 1 Apr 2024)
  • Ian Paul Worden

    IRN IPW01009

    • CF4 Partner (28 May 2013 to 18 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 18 Mar 2016)
    • CF27 Investment Management (1 Oct 2006 to 31 Oct 2007)
  • James Peter Clayton Jupp

    IRN JPJ01048

    • [FCA CF] Material risk taker (since 1 Apr 2024)
    • [FCA CF] Client dealing (since 22 Mar 2021)
    • CF30 Customer (7 Mar 2016 to 8 Dec 2019)
  • John Harold Beatty

    IRN JHB01063

    • CF30 Customer (1 Nov 2007 to 1 Apr 2017)
    • CF4 Partner (AR) (21 Nov 2006 to 13 Nov 2008)
    • CF21 Investment Adviser (1 Oct 2006 to 31 Oct 2007)
    • CF27 Investment Management (1 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (1 Oct 2006 to 1 Apr 2017)
    • CF8 Apportionment and Oversight (1 Oct 2006 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.