Date authorised
1 April 2013
Companies House
01583260
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    123 Pall Mall
    London
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +4402070643300
  • Complaints Contact

    123 Pall Mall
    London
    SW1Y 5EA
    UNITED KINGDOM
    Phone
    +4402070643300

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Private Investment Funds

Approved individuals

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

  • Nicholas Robert William Ross

    IRN NRR01012

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF10a CASS Oversight function (6 Oct 2011 to 1 Sep 2015)
    • CF10 Compliance Oversight (17 Jun 2011 to 1 Sep 2015)
    • CF11 Money Laundering Reporting (17 Jun 2011 to 1 Sep 2015)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (10 Nov 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (10 Nov 2006 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Peter Mills

    IRN PXM00395

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Philip John Davies

    IRN PJD01294

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (6 Oct 2017 to 8 Dec 2019)
    • CF30 Customer (26 Aug 2015 to 8 Dec 2019)
  • Philip John Dyke

    IRN PJD01155

    • CF30 Customer (1 Nov 2007 to 3 Nov 2009)
    • CF27 Investment Management (4 Jul 2006 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 15 Feb 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 16 Nov 2006)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Nov 2006)
    • CF10 Compliance Oversight (1 Dec 2001 to 16 Nov 2006)
  • Rhian Lynn Wooldridge

    IRN RLD01031

    • CF30 Customer (1 Nov 2007 to 3 Nov 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Richard Charles Barker

    IRN RXB00499

    • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2025)
  • Robert Clarke

    IRN RXC01331

    • CF27 Investment Management (1 Dec 2001 to 24 Oct 2005)
  • Robert John Lewis

    IRN RJL01076

    • CF1 Director (1 Dec 2001 to 15 Feb 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 10 Aug 2005)
  • Robert Nigel McConnell

    IRN RNM01009

    • CF27 Investment Management (1 Dec 2001 to 24 Oct 2005)
  • Sachin Gupta

    IRN SXG01462

    • CF30 Customer (1 Sep 2009 to 16 Oct 2009)

Recent activity

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

No changes recorded yet.