Institutional Investment Advisors Limited

Date authorised
1 April 2013
Companies House
06374718
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Empire House
    175 Piccadilly
    London
    W1J 9EN
    UNITED KINGDOM
    Phone
    +4407720808681
    Web
    https://www.ininad.co.uk

  • Complaints Contact

    Institutional Investment Advisors Ltd
    Empire House
    175 Piccadilly
    London
    W1J 9EN
    UNITED KINGDOM
    Phone
    +4407720808681

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, 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.

  • 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.

Approved individuals

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

  • Christopher John Gaskarth

    IRN CJG01147

    • SMF16 Compliance Oversight (since 30 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Mar 2022)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF3 Chief Executive (2 Jan 2008 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2008 to 8 Dec 2019)
    • CF1 Director (2 Jan 2008 to 8 Dec 2019)
  • Crispin John Southgate

    IRN CJS01154

    • SMF16 Compliance Oversight (9 Dec 2019 to 5 May 2022)
    • SMF3 Executive Director (9 Dec 2019 to 5 May 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 May 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 13 May 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 May 2022)
    • CF11 Money Laundering Reporting (2 Jan 2008 to 8 Dec 2019)
    • CF1 Director (2 Jan 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2008 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2008 to 8 Dec 2019)
  • John Paul Roby

    IRN JPR01131

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 4 Dec 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 13 May 2022)
    • CF1 Director (2 Jan 2008 to 8 Dec 2019)
    • CF30 Customer (2 Jan 2008 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.