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.

  • Iain Paul Campbell

    IRN IXC11797

    • [FCA CF] Client dealing (since 14 Jul 2022)
  • James Edward Charles Cross

    IRN JEC01259

    • CF30 Customer (28 May 2014 to 19 Jun 2018)
  • James Justin Glasgow

    IRN JJG01032

    • [FCA CF] Client dealing (since 27 Jun 2022)
  • James Peter Hallamore Entwisle

    IRN JPE01025

    • SMF27 Partner (9 Dec 2019 to 31 Mar 2021)
    • CF4 Partner (1 Jan 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Dec 2007 to 26 Aug 2011)
    • CF28 Systems and controls (1 Nov 2007 to 29 Oct 2019)
    • CF13 Finance (1 Apr 2005 to 31 Oct 2007)
  • James Robert Mullins

    IRN JRM01321

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (17 Jun 2019 to 18 Nov 2019)
    • CF30 Customer (24 Feb 2015 to 8 Dec 2019)
  • Jean-Pierre Mongellaz

    IRN JXM03767

    • CF30 Customer (13 May 2016 to 8 May 2018)
  • Jemma Beattie

    IRN JXB03332

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2021)
    • CF30 Customer (16 Jul 2015 to 8 Dec 2019)
  • Jemma Madden

    IRN JXM03852

    • CF30 Customer (1 Dec 2016 to 6 Jun 2019)
  • Jesal Mistry

    IRN JXM02678

    • CF30 Customer (31 Aug 2016 to 3 Jun 2019)
  • John Alexander Dickson

    IRN JAD01113

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2025)
    • SMF27 Partner (9 Dec 2019 to 1 Apr 2023)
    • CF4 Partner (8 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • 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.