Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
Ropemaker Place28 Ropemaker StreetLondonLondonEC2Y 9HDUNITED KINGDOM- Phone
- +442030372000
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Complaints Contact
Ropemaker Place28 Ropemaker StreetLondonLondonEC2Y 9HDUNITED KINGDOM- Phone
- +442030374447
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Investment Advice (no pensions)
For Professional, Eligible Counterparty, Share, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments), Debenture, Government and public security
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- · 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.
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Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Stockbroking
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Trades With You Directly
For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Investment Setup
For Professional, Eligible Counterparty, Commercial, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rights to or interests in investments (Contractually Based Investments)
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- · 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.
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Yiran Xu
IRN YXX00002
- (1177)[FCA CF] Client dealing (15 Oct 2020 to 1 Jan 2023)
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Yohan Nathan Marc Kakon-Cazes
IRN YNK01000
- (995)CF30 Customer (27 Jul 2017 to 5 Mar 2019)
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Yohan Roy Powell
IRN YRP00003
- (679)CF30 Customer (18 Aug 2008 to 13 Jan 2014)
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Yongbin Xu
IRN YXX01009
- (719)CF30 Customer (10 Jun 2010 to 13 Aug 2010)
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Yu Pei
IRN YXP08852
- (965)CF30 Customer (29 Nov 2018 to 30 Dec 2018)
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Yuanqi Zhang
IRN YXZ19929
- (1806)[FCA CF] Client dealing (9 Dec 2019 to 8 Jan 2021)
- (1805)CF30 Customer (9 Sep 2019 to 8 Dec 2019)
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Yubin Fu
IRN YXF01046
- (1045)CF30 Customer (15 Apr 2014 to 4 May 2015)
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Yue Han
IRN YXH01205
- (997)CF30 Customer (21 Jun 2017 to 27 Oct 2017)
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Yuemeng Mao
IRN YXM21727
- (1768)[FCA CF] Client dealing (9 Dec 2019 to 12 May 2021)
- (1767)CF30 Customer (10 Oct 2019 to 8 Dec 2019)
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Yuen Shan Suzanna Chiu
IRN YSC01005
- (678)CF30 Customer (14 Nov 2007 to 2 Dec 2008)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (76)[FCA CF] Client dealing
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controlled function added: (75)[FCA CF] Client dealing
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controlled function added: (74)[FCA CF] Client dealing
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controlled function added: (73)[FCA CF] Client dealing
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controlled function added: (72)[FCA CF] Client dealing
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controlled function added: (71)[FCA CF] Material risk taker
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controlled function added: (70)[FCA CF] Client dealing
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controlled function added: (69)[FCA CF] Material risk taker
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controlled function added: (68)[FCA CF] Client dealing
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controlled function added: (67)[FCA CF] Client dealing