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.

  • Harinder Singh Sandhu

    IRN HSS01010

    • CF29 Significant management (1 Nov 2007 to 31 Dec 2011)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (4 Oct 2007 to 31 Oct 2007)
    • CF1 Director (27 Nov 2006 to 4 Oct 2007)
    • CF27 Investment Management (29 Aug 2002 to 31 Oct 2007)
  • Haris Skaliotis

    IRN HXS01214

    • CF30 Customer (13 Apr 2016 to 31 May 2019)
  • Harry Michael Saleh

    IRN HMS01094

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (10 Jan 2017 to 8 Dec 2019)
  • Henry Neville

    IRN HXN06030

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (10 Sep 2018 to 8 Dec 2019)
  • Hilary Jane McElwaine

    IRN HJM01027

    • CF27 Investment Management (1 Dec 2001 to 1 Dec 2002)
  • Hitesh Khushalbhai Mistry

    IRN HKM01007

    • CF30 Customer (27 May 2010 to 1 Mar 2012)
  • Hugh Grieves

    IRN HPG01002

    • CF30 Customer (1 Nov 2007 to 5 Jun 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • Hugh Sergeant

    IRN HRS01021

    • CF16 Significant Mgt (Desgntd Investment Business) (7 Aug 2003 to 10 May 2004)
    • CF27 Investment Management (10 Oct 2002 to 5 May 2006)
  • Ian Paul Livingston

    IRN IPL01022

    • CF2 Non Executive Director (1 Jan 2016 to 8 Dec 2019)
  • Ian Trenear Harvey

    IRN ITH01007

    • CF27 Investment Management (1 Dec 2001 to 1 Jun 2004)

Recent activity

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

No changes recorded yet.