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.

  • Ken Kangda Wren

    IRN KKW01006

    • CF30 Customer (1 Nov 2007 to 9 Oct 2014)
    • CF27 Investment Management (10 Apr 2007 to 31 Oct 2007)
  • Kenneth Eugene Reich

    IRN KXR01097

    • CF30 Customer (18 Jan 2016 to 25 Jan 2017)
  • Kenneth George Tomlin

    IRN KGT01013

    • CF21 Investment Adviser (25 Oct 2004 to 11 May 2007)
  • Kevan Stuart Gilmartin

    IRN KSG01013

    • CF30 Customer (1 Nov 2007 to 30 Jun 2008)
    • CF16 Significant Mgt (Desgntd Investment Business) (7 Aug 2003 to 10 May 2004)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Kyril Saxe-Coburg

    IRN CXK01042

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Jan 2023)
    • CF30 Customer (28 Mar 2016 to 8 Dec 2019)
  • Laura Elizabeth Jones

    IRN LEO01002

    • CF17 Significant Mgt (Other Business Operations) (1 Dec 2001 to 28 Nov 2003)
  • Lee Brian Matthews

    IRN LBM01011

    • [FCA CF] Manager of certification employee (since 24 Oct 2025)
    • [FCA CF] Client dealing (since 14 Aug 2024)
  • Lionel Jose Viaccoz

    IRN LJV01015

    • [FCA CF] Manager of certification employee (since 10 Feb 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (2 Mar 2018 to 8 Dec 2019)
  • Lorenzo Philippe Johann Sebastian Maki Gallenga

    IRN LPG01005

    • CF30 Customer (1 May 2009 to 19 May 2011)
  • Luca Rusconi

    IRN LXR01055

    • CF30 Customer (21 Apr 2016 to 26 Sep 2018)

Recent activity

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

No changes recorded yet.