Date authorised
1 April 2013
Companies House
OC362933
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Richardsons, 30 Upper High Street
    Thame
    Oxfordshire
    OX9 3EZ
    UNITED KINGDOM
    Phone
    +4407980953338
  • Complaints Contact

    30 Upper High Street
    Thame
    Oxfordshire
    OX9 3EX
    UNITED KINGDOM
    Phone
    +4407980953338

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, 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, 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, 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, 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, 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, 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

Approved individuals

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

  • David James Edmonds Denny

    IRN DJD01167

    • [FCA CF] Client dealing (since 10 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
  • Jane Burgoyne

    IRN JXB03602

    • [FCA CF] Client dealing (since 10 Dec 2019)
    • [FCA CF] CASS oversight function (since 10 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10a CASS Oversight function (29 Dec 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Dec 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Dec 2017 to 8 Dec 2019)
    • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
    • CF4 Partner (2 Oct 2017 to 8 Dec 2019)
  • John Lucius Arthur Cary

    IRN LXC01168

    • CF4 Partner (21 May 2012 to 10 Nov 2014)
  • Kate Ronayne

    IRN KXR86509

    • [FCA CF] Client dealing (29 Apr 2020 to 30 Apr 2024)
  • Matthew Gerard Winston Frohn

    IRN MGF01015

    • [FCA CF] Client dealing (since 10 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF10a CASS Oversight function (8 Mar 2017 to 4 Jan 2018)
    • CF10 Compliance Oversight (3 Jan 2012 to 4 Jan 2018)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 4 Jan 2018)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
  • Michael Geoffrey Penington

    IRN MGP01061

    • SMF27 Partner (9 Dec 2019 to 29 Jun 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2023)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
  • Rebecca Thirza Todd

    IRN RTT01022

    • [FCA CF] Client dealing (since 1 Apr 2020)

Recent activity

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

No changes recorded yet.