Date authorised
4 January 2016
Companies House
OC393940
Last scraped
1 week ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    123 Pall Mall
    London
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +447941115050
  • Complaints Contact

    Iona Capital Ltd
    123 Pall Mall
    London
    Westminster
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +447941115050

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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), 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.
  • 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, 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), 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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), 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.
  • Investment Setup

    For Eligible Counterparty, Professional, 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), 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.

  • Adrian Vycltal

    IRN AXV01486

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
    • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
  • Andrew James Austin Garman

    IRN AJG01404

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10 Compliance Oversight (24 Jul 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Jul 2017 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
    • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
  • Gary Arthur Neville

    IRN GAN01029

    • CF10 Compliance Oversight (4 Jan 2016 to 12 Jul 2017)
    • CF11 Money Laundering Reporting (4 Jan 2016 to 12 Jul 2017)
    • CF30 Customer (4 Jan 2016 to 12 Jul 2017)
    • CF4 Partner (4 Jan 2016 to 31 Jan 2018)
  • Marian Bocek

    IRN MXB03699

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (4 Jan 2016 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.