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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Yasmina Ayad
IRN YAA01013
- (633)CF30 Customer (24 Jun 2009 to 28 Jul 2010)
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Yasmina Elshafei
IRN YXE01066
- (1255)[FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
- (1256)[FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2020)
- (1254)CF30 Customer (23 Sep 2017 to 8 Dec 2019)
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Yasmine Aldeeb
IRN YXA01280
- (1013)CF30 Customer (28 Nov 2017 to 4 Mar 2019)
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Yathiwadee Anankul
IRN YXA21668
- (173)[FCA CF] Manager of certification employee (since 22 May 2025)
- (172)[FCA CF] Client dealing (since 9 Dec 2019)
- (1787)CF30 Customer (10 Oct 2019 to 8 Dec 2019)
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Yen Mei Lim
IRN YML01007
- (2104)CF30 Customer (1 Dec 2009 to 30 Sep 2010)
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Yi Chen
IRN YXC01168
- (975)CF30 Customer (4 Apr 2018 to 26 Jul 2019)
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Yi-Hua Lu
IRN YXL01111
- (923)[FCA CF] Client dealing (9 Dec 2019 to 28 Jan 2020)
- (922)CF30 Customer (19 Aug 2014 to 8 Dec 2019)
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Yifei Li
IRN YXL01016
- (477)CF21 Investment Adviser (13 Sep 2002 to 22 Sep 2003)
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Yim Ting Wong
IRN YTW01001
- (1046)CF30 Customer (20 Mar 2014 to 2 Feb 2016)
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Ying Xu
IRN YXX01005
- (37)CF30 Customer (4 Nov 2008 to 6 Jul 2009)
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (136)[FCA CF] Client dealing
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controlled function added: (135)[FCA CF] Manager of certification employee
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controlled function added: (134)[FCA CF] Material risk taker
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controlled function added: (133)[FCA CF] Client dealing
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controlled function added: (132)[FCA CF] Client dealing
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controlled function added: (131)[FCA CF] Manager of certification employee
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controlled function added: (130)[FCA CF] Client dealing
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controlled function added: (129)[FCA CF] Manager of certification employee
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controlled function added: (128)[FCA CF] Client dealing
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controlled function added: (127)[FCA CF] Client dealing