Date authorised
1 April 2013
Companies House
03385362
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Riverbank House
    2 Swan Lane
    London
    EC4R 3AD
    UNITED KINGDOM
    Phone
    +4402070167000
  • Complaints Contact

    Riverbank House
    2 Swan Lane
    London
    EC4R 3AD
    UNITED KINGDOM
    Phone
    +4402071447251

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 5 limitations
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • 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 5 limitations
    • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • 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 3 limitations
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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 4 limitations
    • · Limited to investment management activities for the specified customer types.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • 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 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

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

  • Julien Damien David Jarmoszko

    IRN JDJ01032

    • CF30 Customer (15 Nov 2007 to 5 Jun 2009)
  • Karen Gabay

    IRN KXG01105

    • CF21 Investment Adviser (12 Sep 2006 to 31 May 2007)
  • Karen Myriah Agnes Andren

    IRN KMV01002

    • CF28 Systems and controls (1 Nov 2007 to 23 Apr 2008)
    • CF15 Internal Audit (13 Sep 2004 to 31 Oct 2007)
    • CF14 Risk Assessment (13 Sep 2004 to 31 Oct 2007)
  • Karim Abdel-Motaal

    IRN KXA01080

    • CF30 Customer (12 May 2009 to 31 Jan 2013)
  • Karine Seguin

    IRN KXS01189

    • CF21 Investment Adviser (2 Dec 2004 to 31 May 2007)
  • Katharine Mary Barker

    IRN KMB01118

    • CF2 Non Executive Director (25 Jan 2017 to 8 Dec 2019)
  • Katherine Elizabeth Squire

    IRN KES01065

    • SMF3 Executive Director (since 2 Oct 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Oct 2025)
    • CF10 Compliance Oversight (26 Sep 2016 to 8 Dec 2019)
  • Keith Edward Percy

    IRN KEP01007

    • CF29 Significant management (22 May 2008 to 31 Dec 2010)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
    • CF1 Director (12 Aug 2003 to 7 Jun 2005)
    • CF8 Apportionment and Oversight (12 Aug 2003 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (31 May 2002 to 30 Jul 2003)
    • CF3 Chief Executive (1 Dec 2001 to 16 May 2002)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Keith Fawcitt Haydon

    IRN KFH01016

    • CF30 Customer (14 Sep 2016 to 8 Dec 2019)
  • Kelly Walsh

    IRN KXW01663

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Jan 2024)
    • CF30 Customer (8 May 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.