Date authorised
31 March 2005
Companies House
OC310282
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    One London Wall
    London
    EC2Y 5EA
    UNITED KINGDOM
    Phone
    +4402070826000
  • Complaints Contact

    30 Semple Street
    Edinburgh
    EH3 8BL
    UNITED KINGDOM
    Phone
    +4401316565000

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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

  • Investment Setup

    For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

  • Anna Catharine Hawkins

    IRN ACG01114

    • [FCA CF] Client dealing (9 Dec 2019 to 2 Feb 2022)
    • CF30 Customer (26 Apr 2019 to 8 Dec 2019)
  • Annamaria Koerling

    IRN AEL01026

    • Director of firm who is not a certification employee or a SMF manager (15 Nov 2021 to 7 Oct 2024)
  • Anne Margaret Wilson

    IRN AMW01160

    • CF30 Customer (21 Nov 2007 to 22 Jan 2008)
  • Anthony Michael Ellis

    IRN AME01054

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Aug 2009 to 8 Dec 2019)
  • Baljit Singh Khatra

    IRN BSK01040

    • [FCA CF] Client dealing (9 Dec 2019 to 15 Dec 2022)
    • CF30 Customer (10 Sep 2018 to 8 Dec 2019)
  • Beenesh Googoolye

    IRN BXG01498

    • CF30 Customer (13 Oct 2016 to 18 Feb 2019)
  • Benjamin Alcock

    IRN BXA00235

    • [FCA CF] Client dealing (since 26 Mar 2024)
  • Benjamin William Farmer

    IRN BWF01017

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (21 Jul 2017 to 8 Dec 2019)
  • Brian Henderson

    IRN BXH01234

    • CF30 Customer (1 Nov 2007 to 30 May 2008)
    • CF21 Investment Adviser (28 Oct 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Apr 2005 to 28 Oct 2005)
  • Bruce Alexander Lindsay

    IRN BAL01020

    • CF11 Money Laundering Reporting (15 Aug 2012 to 31 Mar 2014)
    • CF30 Customer (1 Nov 2007 to 23 Mar 2016)
    • CF21 Investment Adviser (1 Apr 2005 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.