Date authorised
12 October 2016
Companies House
OC402437
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    25 Great Pulteney Street
    London
    W1F 9LT
    UNITED KINGDOM
    Phone
    +442079521788
  • Complaints Contact

    25 Great Pulteney Street
    London
    W1F 9LT
    UNITED KINGDOM
    Phone
    +442079521788

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, 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), Share, 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, 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), Share, 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, 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), Share, 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.

  • Richard Lee

    IRN RXL01756

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jan 2025)
    • CF4 Partner (2 May 2019 to 8 Dec 2019)
    • CF30 Customer (2 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (16 Mar 2017 to 8 Dec 2019)
  • Shyam Sashikant Masrani

    IRN SXM04639

    • [FCA CF] Client dealing (since 1 Jan 2025)

Recent activity

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

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