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.

  • Kris Tungatt

    IRN KXT48125

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2020)
  • Kyle Smythe

    IRN KXS48122

    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 28 Feb 2023)
  • LISA DAWN STAKER

    IRN LDS01035

    • SIMF20 Chief Actuary Function (7 Mar 2016 to 21 Jul 2017)
    • CF12 Actuarial (4 Jan 2016 to 6 Mar 2016)
  • Laura Alexander

    IRN LXA00125

    • 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] Manager of certification employee (since 1 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2023)
    • [FCA CF] Client dealing (since 12 Jul 2021)
  • Lauren Shaw

    IRN LXS00347

    • [FCA CF] Client dealing (17 Jan 2022 to 13 Apr 2026)
  • Lee Garrett

    IRN LXG00182

    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 8 Sep 2022)
  • Leslie Michael Etheridge

    IRN LME01015

    • CF1 Director (15 Oct 2003 to 14 Jan 2005)
    • CF8 Apportionment and Oversight (15 Oct 2003 to 14 Jan 2005)
    • CF14 Risk Assessment (15 Oct 2003 to 14 Jan 2005)
    • CF3 Chief Executive (15 Oct 2003 to 14 Jan 2005)
  • Lucy Bate

    IRN LXB00707

    • [FCA CF] Material risk taker (since 17 Nov 2025)
    • [PRA CF] Significant risk taker or Material risk taker (1 Jun 2024 to 19 Dec 2024)
  • Luke Aidan John Carrivick

    IRN LAC01115

    • SMF5 Head of Internal Audit (10 Dec 2018 to 31 Dec 2021)
    • SIMF5 Head of Internal Audit Function (23 May 2016 to 9 Dec 2018)
  • Lyndsay Elizabeth Wilson

    IRN LEW01030

    • SMF11 Chair of the Audit Committee (since 30 Apr 2025)
    • SMF10 Chair of the Risk Committee (since 30 Apr 2025)
    • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2024)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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