Date authorised
1 April 2013
Companies House
00949417
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Perpetual Park
    Perpetual Park Drive
    Henley-on-Thames
    Oxfordshire
    RG9 1HH
    UNITED KINGDOM
    Phone
    +441491416032
  • Complaints Contact

    60 London Wall
    London
    EC2M 5TQ
    UNITED KINGDOM
    Phone
    +442075433560

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, 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, 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.
  • 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 (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 Eligible Counterparty, 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.
  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Eligible Counterparty, 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.
  • Runs Investment Funds

  • 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 (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 Your Portfolio

    For Eligible Counterparty, 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.

  • Katharine Elizabeth Roth

    IRN KEM01022

    • CF27 Investment Management (1 Dec 2001 to 1 Dec 2001)
  • Katherine Mary Dwyer

    IRN KMD01052

    • [FCA CF] Manager of certification employee (since 21 Apr 2023)
    • [FCA CF] Significant management (since 21 Apr 2023)
    • [FCA CF] Material risk taker (since 21 Apr 2023)
  • Kathryn Louise Langridge

    IRN KLL01005

    • CF27 Investment Management (1 Dec 2001 to 20 Apr 2007)
  • Katiuscia Whitmore

    IRN KXW00331

    • [FCA CF] Material risk taker (24 Mar 2023 to 31 Jan 2025)
    • SMF5 Head of Internal Audit (13 Mar 2023 to 31 Jan 2025)
  • Kevin Gordon Grundy

    IRN KGG01021

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 5 May 2021)
    • CF30 Customer (12 Sep 2014 to 8 Dec 2019)
  • Kevin Michael Carome

    IRN KMC01090

    • CF1 Director (22 Dec 2010 to 8 Dec 2019)
  • Kevin Michael White

    IRN KMW01026

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2019 to 13 Dec 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Dec 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 13 Dec 2023)
    • CF30 Customer (11 Sep 2013 to 8 Dec 2019)
  • Kuang Yi Hsiao

    IRN KXH00201

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 4 May 2022)
  • Lachlan Callander

    IRN LXC01411

    • CF1 Director (28 Apr 2008 to 14 Jan 2009)
  • Lara Bett

    IRN LXB00855

    • [FCA CF] Material risk taker (since 3 Nov 2025)

Recent activity

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

No changes recorded yet.