Date authorised
16 July 2014
Companies House
08755484
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 St. James's Market
    London
    SW1Y 4AH
    UNITED KINGDOM
    Phone
    +442074842500
  • Complaints Contact

    1 St. James's Market
    London
    Westminster
    SW1Y 4AH
    UNITED KINGDOM
    Phone
    +442074842500

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, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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.
  • 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, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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 Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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.

  • Anne-Claire Marie Henri Assier De Pompignan

    IRN AMD01120

    • CF30 Customer (16 Jul 2014 to 3 Dec 2015)
  • Anthony Stanton Dell

    IRN ASD01102

    • CF11 Money Laundering Reporting (1 Feb 2017 to 1 Jun 2017)
    • CF10 Compliance Oversight (1 Feb 2017 to 1 Jun 2017)
  • Beatriz Villate

    IRN BXV00015

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)
  • Benjamin Vicentini

    IRN BXV00014

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)
  • Blair Jacobson

    IRN BXJ01182

    • CF1 Director (11 Jan 2017 to 1 Jun 2017)
  • Cecile Loiseau

    IRN CXL01708

    • CF10 Compliance Oversight (1 Jun 2017 to 7 Nov 2017)
    • CF11 Money Laundering Reporting (1 Jun 2017 to 7 Nov 2017)
  • Colin William Wright

    IRN CWW01038

    • [FCA CF] Client dealing (4 May 2023 to 31 Jul 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 4 May 2023)
    • CF30 Customer (16 Jul 2014 to 8 Dec 2019)
  • DAVID BATTEY

    IRN DXB02269

    • CF28 Systems and controls (16 Jul 2014 to 3 Dec 2015)
  • Gallus Rechsteiner

    IRN GXR01716

    • SMF3 Executive Director (25 Oct 2024 to 17 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Oct 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 17 Oct 2025)
    • CF10 Compliance Oversight (7 Nov 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Nov 2017 to 8 Dec 2019)
  • Gavin Lau

    IRN GXL01551

    • SMF3 Executive Director (19 Feb 2024 to 22 Aug 2024)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)

Recent activity

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

No changes recorded yet.