Date authorised
1 April 2013
Companies House
OC316696
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    25 Great Pulteney Street
    3rd Floor
    London
    W1F 9LT
    UNITED KINGDOM
    Phone
    +4402075145400
  • Complaints Contact

    25 Great Pulteney Street
    3rd Floor
    London
    W1F 9LT
    UNITED KINGDOM
    Phone
    +4402075145400

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, 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, 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 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, 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, 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 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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, 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 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, 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, 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 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, 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, 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 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.
  • Manages Your Portfolio

    For Eligible Counterparty, Professional, 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, 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 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.

  • Jukka Tapio Hakli

    IRN JTH01056

    • CF27 Investment Management (18 Aug 2006 to 12 Oct 2007)
  • Julien Romain Frazzo

    IRN JXF01202

    • CF30 Customer (7 Oct 2010 to 28 Feb 2011)
  • Julius Alan Lipner

    IRN JAL01103

    • CF30 Customer (1 Nov 2007 to 30 Oct 2008)
    • CF27 Investment Management (21 Jun 2007 to 31 Oct 2007)
  • Luca Di Rico

    IRN LXD01253

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (18 Jan 2007 to 31 Oct 2007)
  • Marko Soldo

    IRN MXS02353

    • CF30 Customer (1 Nov 2007 to 16 Jan 2009)
    • CF22 Investment Adviser (Trainee) (13 Aug 2007 to 31 Oct 2007)
  • Matthew Thomas Wood

    IRN MTW01037

    • CF21 Investment Adviser (30 Aug 2006 to 28 Sep 2007)
    • CF27 Investment Management (30 Aug 2006 to 28 Sep 2007)
  • Michael Alan Turro

    IRN MAT01182

    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Oct 2025)
    • CF10 Compliance Oversight (5 Jun 2009 to 8 Dec 2019)
  • Michael Sebastian Gladstone

    IRN MXG01235

    • CF30 Customer (1 Nov 2007 to 11 Oct 2012)
    • CF10 Compliance Oversight (26 Oct 2007 to 9 Apr 2010)
    • CF11 Money Laundering Reporting (26 Oct 2007 to 9 Apr 2010)
    • CF3 Chief Executive (26 Oct 2007 to 9 Apr 2010)
    • CF8 Apportionment and Oversight (26 Oct 2007 to 31 Oct 2007)
    • CF27 Investment Management (18 Jul 2007 to 31 Oct 2007)
  • Nadine Anne Resha

    IRN NAR01065

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Jan 2019 to 8 Dec 2019)
  • Nathalie Anne Ells

    IRN NXE01044

    • CF30 Customer (1 Nov 2007 to 9 Sep 2008)
    • CF21 Investment Adviser (29 Jun 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.