Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
100 BishopsgateLondonEC2N 4JLUNITED KINGDOM- Phone
- +442070298000
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Complaints Contact
100 BishopsgateLondonEC2N 4JLUNITED KINGDOM- Phone
- +442070298000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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P2P Lending Advice
For Retail (Investment), Professional, Eligible Counterparty
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Investment Advice (no pensions)
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Commodity Future, Commodity option and option on commodity future, Rolling spot forex contract
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- · 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.
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract
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- · 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.
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Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Stockbroking
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract
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- · 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.
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Trades With You Directly
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract
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- · 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.
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Investment Setup
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract
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- · 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.
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Manages Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (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), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Unit
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- · 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.
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Holds Your Assets
For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 1 limitation Hide limitations
- · 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.
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Rodney David Watters
IRN RXW00459
- (681)[FCA CF] Significant management (since 5 Jan 2023)
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Rodolphe Augustin Pierre Antoine Michelet
IRN RXM21622
- (1730)[FCA CF] Client dealing (1 Feb 2021 to 9 Apr 2021)
- (1729)CF30 Customer (9 Oct 2019 to 8 Dec 2019)
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Rodolphe Siegfried Roch
IRN RSR01034
- (889)[FCA CF] Client dealing (13 Jan 2023 to 31 Dec 2024)
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Rodrigo Armando Patiño Astete
IRN RAP01273
- (1746)[FCA CF] Manager of certification employee (20 Feb 2023 to 7 Mar 2025)
- (1745)[FCA CF] Client dealing (25 Oct 2022 to 7 Mar 2025)
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Roland Franz Xaver Sand
IRN RFS01029
- (483)CF30 Customer (27 Oct 2010 to 30 Jan 2015)
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Roland Herbert Sharman
IRN RXS01282
- (432)CF21 Investment Adviser (1 Dec 2001 to 4 Mar 2002)
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Roland Kennedy
IRN RXK01605
- (81)[FCA CF] Client dealing (since 29 Sep 2022)
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Romain Bobrie
IRN RXB02769
- (1764)CF30 Customer (12 May 2017 to 13 Feb 2018)
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Romain Gonthier
IRN RXG01291
- (422)CF30 Customer (1 Nov 2007 to 1 Aug 2008)
- (423)CF23 Corporate Finance Adviser (2 Sep 2004 to 31 Oct 2007)
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Romain Guillaume Martinoni
IRN RXM00492
- (1135)[FCA CF] Significant management (13 Jul 2021 to 1 Nov 2021)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (755)[FCA CF] Client dealing
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controlled function added: (754)[FCA CF] Client dealing
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controlled function added: (753)[FCA CF] Client dealing
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controlled function added: (752)[FCA CF] Client dealing
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controlled function added: (751)[FCA CF] Client dealing
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controlled function added: (750)[FCA CF] Client dealing
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controlled function added: (749)[FCA CF] Client dealing
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controlled function added: (748)[FCA CF] Client dealing
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controlled function added: (747)[FCA CF] Client dealing
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controlled function added: (746)[FCA CF] Client dealing