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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Timothy Anthony Hugo Pollock
IRN TAP01046
- (676)CF21 Investment Adviser (8 Dec 2006 to 17 Aug 2007)
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Timothy Cameron Bishop
IRN TCB01082
- (1077)CF1 Director (14 Feb 2012 to 27 Mar 2015)
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Timothy Chee Siong Tan
IRN TCT01023
- (127)[FCA CF] Client dealing (since 9 Dec 2019)
- (1379)CF30 Customer (12 Oct 2017 to 8 Dec 2019)
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Timothy James Royal Davis
IRN TJD01074
- (484)CF30 Customer (1 Nov 2007 to 11 Mar 2008)
- (485)CF21 Investment Adviser (19 Feb 2007 to 31 Oct 2007)
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Timothy John Bowden
IRN TJB01135
- (536)CF30 Customer (1 Nov 2007 to 11 Mar 2008)
- (537)CF23 Corporate Finance Adviser (29 Dec 2003 to 31 Oct 2007)
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Timothy John Mulvihill
IRN TJM01240
- (2094)SMF24 Chief Operations (9 Dec 2019 to 31 Dec 2021)
- (2095)CF29 Significant management (18 Aug 2016 to 8 Dec 2019)
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Timothy John Russell
IRN TJR01134
- (1398)CF30 Customer (20 May 2017 to 16 Jul 2018)
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Timothy Joseph Baird
IRN TJB01190
- (83)CF30 Customer (6 Apr 2009 to 26 Jun 2009)
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Timothy Luke Harry Arkell
IRN TLA01009
- (748)CF21 Investment Adviser (1 Aug 2004 to 31 May 2005)
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Timothy Michael Farndon
IRN TMF01029
- (747)CF21 Investment Adviser (1 Dec 2001 to 10 Oct 2003)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (6)[FCA CF] Manager of certification employee
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controlled function added: (5)[FCA CF] Client dealing
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controlled function added: (4)[FCA CF] Client dealing
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controlled function added: (3)[FCA CF] Client dealing
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controlled function added: (2)[FCA CF] Manager of certification employee
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controlled function added: (1)[FCA CF] Client dealing
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controlled function added: (2157)CF21 Investment Adviser
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controlled function added: (2156)CF21 Investment Adviser
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controlled function added: (2155)CF2 Non Executive Director
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controlled function added: (2154)CF30 Customer