Date authorised
1 April 2013
Companies House
02597050
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    La Salle
    78 St. James's Street
    London
    Westminster
    SW1A 1JB
    UNITED KINGDOM
    Phone
    +4402078524261
  • Complaints Contact

    La Salle
    78 St. James's Street
    London
    Westminster
    SW1A 1JB
    UNITED KINGDOM
    Phone
    +4402078524261

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Commercial, 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, 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 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 Commercial, 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, 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 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.
  • Insurance Admin

    For Commercial, Non-investment insurance contracts

  • Stockbroking

    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, Life Policy, 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), Share, Spread Bet, 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.
  • Runs Investment Funds

  • Investment Setup

    For Commercial, 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, 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 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 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, Spread Bet, 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.

Approved individuals

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

  • Kian Sin Toh

    IRN KXT00079

    • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2021)
  • Lauren Armstrong

    IRN LLA01009

    • CF30 Customer (29 Jan 2016 to 10 Jan 2019)
  • Laurent Ferret

    IRN LXF01169

    • CF30 Customer (1 Nov 2007 to 5 Jun 2009)
    • CF21 Investment Adviser (9 Mar 2007 to 31 Oct 2007)
    • CF27 Investment Management (9 Mar 2007 to 31 Oct 2007)
  • Lee David Marshall

    IRN LDM01031

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2020)
    • CF30 Customer (5 Nov 2018 to 8 Dec 2019)
  • Leif Skogland

    IRN LXS00655

    • [FCA CF] Client dealing (since 16 Jul 2024)
  • Lili Luizova

    IRN LXL00086

    • [FCA CF] Client dealing (9 Dec 2019 to 11 Apr 2022)
  • Lisa Barningham

    IRN LXB00482

    • [FCA CF] Manager of certification employee (21 Jul 2022 to 30 Sep 2025)
    • [FCA CF] Client dealing (21 Jul 2022 to 30 Sep 2025)
  • Lisa Lebow Kaufman

    IRN LXK00170

    • SMF3 Executive Director (since 3 Jul 2023)
    • [FCA CF] Material risk taker (since 10 May 2023)
    • [FCA CF] Client dealing (since 10 May 2023)
  • Lois Robertson

    IRN LXR00141

    • [FCA CF] Client dealing (17 Jun 2021 to 10 Nov 2023)
  • Lucinda Anne Liss

    IRN LAL01058

    • [FCA CF] Material risk taker (9 Dec 2019 to 17 Mar 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 17 Mar 2023)
    • CF30 Customer (8 Aug 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.