Date authorised
1 April 2013
Companies House
00798365
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor
    2 Gresham Street
    London
    EC2V 7AD
    UNITED KINGDOM
    Phone
    +4402076084900
  • Complaints Contact

    4th Floor
    2 Gresham Street
    London
    EC2V 7AD
    UNITED KINGDOM
    Phone
    +4402076084900

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Professional, Retail (Investment), 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, 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, Spread Bet, 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.
  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), 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, 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, Spread Bet, 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.
  • Manages Insurance Policies

    For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

  • Stockbroking

    For Professional, Retail (Investment), 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, 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, Spread Bet, 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.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), 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), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, 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, Spread Bet

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Issues Insurance

    For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

  • Runs Personal Pensions

  • Investment Setup

    For Professional, Retail (Investment), 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, 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, Spread Bet, 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.
  • Holds Your Assets

    For Professional, Retail (Investment), 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, 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, Spread Bet, 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.

  • Holly Ward

    IRN HXW00107

    • [FCA CF] Manager of certification employee (17 Jan 2022 to 8 Jun 2022)
    • [FCA CF] Client dealing (17 Jan 2022 to 8 Jun 2022)
    • [FCA CF] Functions requiring qualifications (17 Jan 2022 to 8 Jun 2022)
  • Ian Anthony Taylor

    IRN IAT01013

    • SMF1 Chief Executive (10 Dec 2018 to 3 Mar 2020)
    • SMF3 Executive Director (10 Dec 2018 to 3 Mar 2020)
    • SIMF1 Chief Executive Function (7 Mar 2016 to 9 Dec 2018)
    • CF10 Compliance Oversight (21 Feb 2008 to 1 Aug 2008)
    • CF11 Money Laundering Reporting (21 Feb 2008 to 1 Aug 2008)
    • CF1 Director (10 Nov 2004 to 9 Dec 2018)
    • CF3 Chief Executive (10 Nov 2004 to 6 Mar 2016)
    • CF8 Apportionment and Oversight (10 Nov 2004 to 6 Mar 2016)
  • Ian Hodgson

    IRN IXH48103

    • 16. Safeguarding and administering investments or holding client money
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Irene McKenzie

    IRN IXM48104

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Oct 2024)
  • Jack Boon

    IRN JXB00794

    • [FCA CF] Client dealing (1 Jul 2021 to 20 Oct 2022)
  • James O'Rourke

    IRN JXO48115

    • [FCA CF] Manager of certification employee (since 1 Dec 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • James Thomas Miller

    IRN JXM04185

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Functions requiring qualifications (since 16 Dec 2024)
    • [FCA CF] Manager of certification employee (since 16 Dec 2024)
    • [FCA CF] Client dealing (since 16 Dec 2024)
  • Jane Isaac

    IRN JMF01109

    • [FCA CF] Material risk taker (since 17 Nov 2025)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 27 Nov 2012)
    • CF20 Significant Mgt (Settlements) (16 Jul 2007 to 31 Oct 2007)
  • Jason Rodgers

    IRN JXR00628

    • [FCA CF] Client dealing (12 Oct 2022 to 13 Apr 2026)
  • Jeremy Macduff Brettell

    IRN JMB01351

    • Director of firm who is not a certification employee or a SMF manager (13 May 2025 to 19 May 2025)
    • SMF11 Chair of the Audit Committee (18 Nov 2022 to 13 May 2025)
    • SMF10 Chair of the Risk Committee (10 Dec 2018 to 13 May 2025)
    • SIMF10 Chair of the Risk Committee (1 Jun 2016 to 9 Dec 2018)

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.