Date authorised
1 April 2013
Companies House
06387449
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    18/19 Albemarle Street
    London
    W1S 4HR
    UNITED KINGDOM
    Phone
    +4402034051040
  • Complaints Contact

    18/19 Albemarle Street
    London
    W1S 4HR
    UNITED KINGDOM
    Phone
    +4402034051040

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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, 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, Retail (Investment), Certificates representing certain security, 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, 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, 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, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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, 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, Retail (Investment), Certificates representing certain security, 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, 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, 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, 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.

  • Agata Rozalia Shorten

    IRN ARS01165

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Nov 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Nov 2023)
    • CF11 Money Laundering Reporting (18 Sep 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Sep 2018 to 8 Dec 2019)
  • Alastair Hugo Peter Dibden

    IRN AXD00384

    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Alexander David Lanyon Rowe

    IRN ADR01112

    • CF30 Customer (1 Aug 2012 to 30 Apr 2013)
  • Anastasija Orlova

    IRN AXO00256

    • [FCA CF] Client dealing (since 14 Jul 2023)
  • Andrew John Haley

    IRN AJH01698

    • CF30 Customer (1 Aug 2018 to 17 Oct 2018)
  • Andrew Nigel Harrison

    IRN ANH01047

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (5 Oct 2012 to 8 Dec 2019)
  • Ashis Dash

    IRN AXD02115

    • CF30 Customer (1 Jun 2013 to 6 Mar 2015)
  • Christopher Lloyd

    IRN CXL01504

    • CF30 Customer (1 Oct 2013 to 5 Jan 2018)
  • Darya Lukyanenko

    IRN DXL00487

    • [FCA CF] Client dealing (1 Apr 2024 to 10 Oct 2024)
  • Douglas Jonathan Bendle

    IRN DJB01541

    • CF1 Director (18 May 2009 to 28 Sep 2010)
    • CF10 Compliance Oversight (18 May 2009 to 28 Sep 2010)
    • CF11 Money Laundering Reporting (18 May 2009 to 28 Sep 2010)

Recent activity

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

No changes recorded yet.