Date authorised
3 July 2013
Companies House
00938937
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    25 Bank Street
    London
    E14 5JP
    UNITED KINGDOM
    Phone
    +442034931949
  • Complaints Contact

    25 Bank Street
    -
    London
    E14 5JP
    UNITED KINGDOM
    Phone
    +442034931949

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

  • Retail Fund Guardian

  • Specialist Fund Guardian

  • Private Fund Guardian

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For 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, 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), Rolling spot forex contract, Share, Spread Bet, 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, 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, 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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Insurance Admin

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

  • Trade Settlement Routing

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 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.
    • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.
  • Credit Brokering

  • Stockbroking

    For 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, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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), 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.
  • Consumer Loans

  • Loan Servicing

  • Digital Money

    For Eligible Counterparty, Professional, Retail (Investment), Issuing Electronic Money

  • Investment Setup

    For 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, 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, 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, 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), Rolling spot forex contract, Share, Spread Bet, 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.
  • Credit Score Services

  • Holds Your Assets

    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, 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Electronic Trade Settlement

    For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 2 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.
    • · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Gladys Sue Kaw

    IRN GSK01010

    • CF21 Investment Adviser (1 Dec 2001 to 22 Jul 2002)
  • Glen Manning

    IRN GXM01380

    • CF22 Investment Adviser (Trainee) (24 Jun 2002 to 24 Jun 2002)
    • CF21 Investment Adviser (24 Jun 2002 to 30 Dec 2002)
  • Gloria Leah Vargas

    IRN GXV01027

    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2005)
  • Goleele James Mosinyi

    IRN GJM01122

    • CF21 Investment Adviser (6 Jun 2002 to 30 Dec 2002)
    • CF22 Investment Adviser (Trainee) (1 May 2002 to 6 Jun 2002)
  • Gonzalo Ausin-Hernandez

    IRN GXA01083

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2002)
  • Gonzalo Lopez Lopez

    IRN GXL91929

    • [FCA CF] Client dealing (18 Aug 2020 to 23 Apr 2021)
  • Gordon Harry Rennoldson

    IRN GHR01011

    • CF14 Risk Assessment (11 Nov 2003 to 31 May 2007)
    • CF1 Director (13 May 2003 to 18 May 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • Gordon Michael Gray

    IRN GMG01030

    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • Graeme Keith

    IRN GJK01025

    • CF21 Investment Adviser (1 Dec 2001 to 24 Nov 2003)
  • Graeme Munro

    IRN GBM01029

    • [FCA CF] Manager of certification employee (since 31 Oct 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 1 Mar 2020)
    • [FCA CF] Material risk taker (7 Jul 2017 to 1 Mar 2020)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 18 Apr 2019)

Recent activity

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

No changes recorded yet.