Date authorised
1 April 2013
Companies House
03295094
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9-11 Kingly Street
    London
    Westminster
    W1B 5PH
    UNITED KINGDOM
    Phone
    +4402030043250
  • Complaints Contact

    9-11 Kingly Street
    London
    W1B 5PH
    UNITED KINGDOM
    Phone
    +4402030043250

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, Certificates representing certain security, 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, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Certificates representing certain security, 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, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, 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 Professional, Certificates representing certain security, 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, 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, Certificates representing certain security, 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, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Manages Your Portfolio

    For Professional, Certificates representing certain security, 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, 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.

  • Hillel Louis Zidel

    IRN HLZ01002

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (7 Jan 2014 to 8 Dec 2019)
    • CF30 Customer (7 Jan 2014 to 8 Dec 2019)
  • Javier Eduardo Rojas

    IRN JER01071

    • CF2 Non Executive Director (9 Jun 2003 to 8 Dec 2019)
  • Jonathan Ian Barker Hewitson

    IRN JIH01023

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Dec 2025)
    • [FCA CF] Material risk taker (9 Dec 2019 to 3 Dec 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Dec 2025)
    • CF11 Money Laundering Reporting (6 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Nov 2019 to 8 Dec 2019)
  • Katherine Stirrup

    IRN KXS00909

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jan 2026)
    • SMF16 Compliance Oversight (since 5 Jan 2026)
  • Lydia Vitalyevna Whyatt

    IRN LVW01001

    • CF27 Investment Management (1 Dec 2001 to 2 Dec 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 2 Dec 2003)
  • Manish Mittal

    IRN MXM01888

    • CF28 Systems and controls (1 Nov 2007 to 3 Sep 2012)
    • CF13 Finance (20 Apr 2004 to 31 Oct 2007)
    • CF10 Compliance Oversight (20 Apr 2004 to 3 Sep 2012)
    • CF11 Money Laundering Reporting (20 Apr 2004 to 3 Sep 2012)
  • Maximilian Regner-Bleyleben

    IRN MXR01222

    • CF1 Director (18 Sep 2008 to 31 Jan 2011)
    • CF30 Customer (1 Nov 2007 to 31 Jan 2011)
    • CF21 Investment Adviser (2 Aug 2005 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 4 Apr 2003)
  • Michael Hykit Chan

    IRN MXC00755

    • [FCA CF] Significant management (4 May 2022 to 18 Feb 2026)
  • Michael Stafford Elias

    IRN MSE01006

    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 4 Apr 2003)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • Neil Cooper

    IRN NXC01462

    • CF28 Systems and controls (3 Sep 2012 to 7 Nov 2019)
    • CF10 Compliance Oversight (3 Sep 2012 to 7 Nov 2019)
    • CF11 Money Laundering Reporting (3 Sep 2012 to 7 Nov 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.