Date authorised
1 April 2013
Companies House
OC344026
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    79 Maygrove Road
    London
    NW6 2EG
    UNITED KINGDOM
    Phone
    +4402076045750
  • Complaints Contact

    79 Maygrove Road
    London
    NW6 2EG
    UNITED KINGDOM
    Phone
    +4402076045750

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 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), Rolling spot forex contract, 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 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), Rolling spot forex contract, 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.
  • Arranges Asset Safekeeping

    For 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), Rolling spot forex contract, 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.
  • Stockbroking

    For 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), Rolling spot forex contract, 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.
  • Trades With You Directly

    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), Rolling spot forex contract, Share, Unit, Warrant

    Show 2 limitations
    • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis
    • · 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 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), Rolling spot forex contract, 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.
  • Manages Your Portfolio

    For 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), Rolling spot forex contract, 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.

  • Abhishek Praful Shah

    IRN APS01178

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (13 May 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 May 2013 to 8 Dec 2019)
  • Adam Felix Foster

    IRN AFF01004

    • CF4 Partner (16 Jun 2009 to 15 Jul 2013)
    • CF30 Customer (16 Jun 2009 to 15 Jul 2013)
  • Alastair Neil Stacey

    IRN ANS01032

    • CF30 Customer (10 Feb 2012 to 9 Oct 2012)
  • Andrea Peter Cappuccini

    IRN APC01079

    • CF30 Customer (3 Nov 2010 to 29 Mar 2012)
  • Christian Nicholas Eliades

    IRN CNE01004

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (13 Jul 2009 to 8 Dec 2019)
  • Clive Lawrence Knight

    IRN CLK01012

    • CF30 Customer (2 Apr 2012 to 27 Sep 2012)
  • Daniel Kessler

    IRN DXK01274

    • SMF27 Partner (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF4 Partner (16 Jun 2009 to 8 Dec 2019)
    • CF3 Chief Executive (16 Jun 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Jun 2009 to 13 May 2013)
    • CF10 Compliance Oversight (16 Jun 2009 to 13 May 2013)
  • Daniel Piler

    IRN DXP01676

    • CF30 Customer (6 Sep 2010 to 10 Aug 2011)
  • Daniel Schindler

    IRN DXS02097

    • CF30 Customer (26 Aug 2010 to 10 Aug 2011)
  • Ian Anthony Vogt

    IRN IAV01002

    • CF30 Customer (26 Jul 2011 to 15 Sep 2011)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Heath Capital LLP (no longer appointed)

    FRN 544702 · Appointed 4 Apr 2011 · Until 3 Jan 2012

Recent activity

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

No changes recorded yet.