Date authorised
25 July 2017
Companies House
10399850
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Lloyds Banking Group, 33 Old Broad Street
    London
    City Of London
    EC2N 1HZ
    UNITED KINGDOM
    Phone
    +442071581087
  • Complaints Contact

    Lloyds Banking Group, 33 Old Broad Street
    London
    City Of London
    EC2N 1HZ
    UNITED KINGDOM
    Phone
    +442071581087

What this firm is allowed to do

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

  • Bank Deposits

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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

  • Arranges Investments

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.
  • Trade Settlement Routing

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, 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), 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, Retail (Investment), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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, Retail (Investment), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.
  • Holds Your Assets

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Binary Bet, 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, Emissions Allowance, 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 3 limitations
    • · Binary bet investment type for Eligible Counterparty and Professional customers only.
    • · When dealing with retail clients, the firm may not carry out the investment activity in relation to Emissions Allowances.
    • · 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.
  • Electronic Trade Settlement

    For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Debenture, 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), 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.

  • Douglas George Hardman

    IRN DXH65537

    • [FCA CF] Algorithmic trading (since 11 Jan 2021)
    • [FCA CF] Client dealing (since 18 Sep 2017)
  • Duncan Potts

    IRN DEP01074

    • [FCA CF] Client dealing (1 Aug 2017 to 13 Jul 2019)
  • Dylan-Marie Burns

    IRN DXB65590

    • [FCA CF] Client dealing (10 Dec 2019 to 25 Feb 2022)
  • Eduardo Jose Stock da Cunha

    IRN EXS24028

    • SMF1 Chief Executive (1 Feb 2020 to 31 Jan 2023)
  • Edward Forshaw

    IRN EXF00034

    • [FCA CF] Client dealing (20 Jan 2021 to 18 Dec 2025)
  • Edward John McLean

    IRN EJM01113

    • [FCA CF] Client dealing (1 Jan 2021 to 19 May 2022)
  • Edward Leng

    IRN JEL01096

    • [FCA CF] Client dealing (since 13 May 2019)
  • Edward Mallett

    IRN EXM68977

    • [FCA CF] Client dealing (1 Jan 2021 to 9 Aug 2021)
  • Edward Mark Jennings

    IRN EMJ01016

    • [FCA CF] Material risk taker (since 10 Oct 2024)
    • [PRA CF] Significant risk taker or Material risk taker (since 10 Oct 2024)
    • [FCA CF] Client dealing (since 1 Aug 2017)
    • [FCA CF] Manager of certification employee (since 1 Aug 2017)
  • Edward Peter Van der Schans

    IRN EPV01000

    • [FCA CF] Algorithmic trading (since 8 Oct 2025)
    • [FCA CF] Client dealing (since 25 Feb 2025)

Recent activity

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

No changes recorded yet.