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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Rowley Mark Thomas Baring
IRN RMB01124
- (1151)CF30 Customer (1 Nov 2007 to 30 Nov 2007)
- (1152)CF23 Corporate Finance Adviser (10 Sep 2007 to 31 Oct 2007)
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Ruben Rosbeh Dewa
IRN RXD00159
- (799)[FCA CF] Client dealing (since 1 Mar 2021)
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Rubinder Singh Virdee
IRN RSV01007
- (2388)CF30 Customer (16 Dec 2014 to 15 Jun 2016)
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Runnararo Zvose Dengu
IRN RZD01000
- (27)CF30 Customer (30 Nov 2015 to 30 Jun 2016)
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Rupali Lav
IRN RXL00377
- (1215)[FCA CF] Client dealing (20 Nov 2023 to 3 Jul 2024)
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Rupert Douglas Alexander Mitchell
IRN RDM01115
- (419)CF30 Customer (10 Dec 2007 to 16 Jul 2010)
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Russell Barnaby Booth
IRN RBB01025
- (1601)CF30 Customer (9 Jun 2011 to 3 Dec 2013)
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Russell Edward Betteridge
IRN REB01102
- (215)[FCA CF] Material risk taker (since 7 Jun 2024)
- (217)[FCA CF] Significant management (since 7 Jun 2024)
- (216)[FCA CF] Manager of certification employee (since 3 Nov 2022)
- (214)[FCA CF] Client dealing (since 1 Feb 2021)
- (859)[FCA CF] Material risk taker (1 Feb 2021 to 2 Oct 2023)
- (858)CF30 Customer (21 Sep 2018 to 8 Dec 2019)
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Russell Waldron
IRN RXW01908
- (21)[FCA CF] Client dealing (since 1 Feb 2021)
- (2209)CF30 Customer (4 Apr 2018 to 8 Dec 2019)
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Ryan Daniel Tomkins
IRN RXT07194
- (2398)[FCA CF] Client dealing (1 Feb 2021 to 14 Aug 2021)
- (2397)CF30 Customer (12 Oct 2018 to 8 Dec 2019)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (855)[FCA CF] Client dealing
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controlled function added: (854)[FCA CF] Client dealing
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controlled function added: (853)[FCA CF] Client dealing
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controlled function added: (852)[FCA CF] Client dealing
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controlled function added: (851)[FCA CF] Client dealing
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controlled function added: (850)[FCA CF] Significant management
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controlled function added: (849)[FCA CF] Client dealing
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controlled function added: (848)[FCA CF] Client dealing
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controlled function added: (847)[FCA CF] Client dealing
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controlled function added: (846)[FCA CF] Client dealing