Date authorised
1 April 2013
Companies House
04395895
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1st Floor
    Warwick Court
    5 Paternoster Square
    London
    EC4M 7DX
    UNITED KINGDOM
    Phone
    +4402074896600
  • Complaints Contact

    1st Floor
    Warwick Court
    5 Paternoster Square
    London
    EC4M 7DX
    UNITED KINGDOM
    Phone
    +4402074896600

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Carbon Auction Bidding

    For Eligible Counterparty, Professional, Emissions Auction Product

  • Stockbroking

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · 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, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    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.
  • Holds Your Assets

    For Eligible Counterparty, Professional, 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), Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    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.

  • Stuart Alexander Aitken

    IRN SAA01092

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (16 Apr 2015 to 8 Dec 2019)
    • CF28 Systems and controls (8 Feb 2011 to 8 Dec 2019)
  • Surinder Pal Singh

    IRN SPS01154

    • [FCA CF] Manager of certification employee (since 10 Dec 2024)
    • [FCA CF] Proprietary trader (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 1 Sep 2020)
  • Tadafumi Sato

    IRN TXS04006

    • SMF2 Chief Finance (1 Jul 2024 to 10 Apr 2026)
  • Takakazu Uchida

    IRN TXU01037

    • CF2 Non Executive Director (30 Jun 2011 to 1 Apr 2012)
  • Takeshi Ninomiya

    IRN TXN01243

    • CF1 Director (16 Apr 2015 to 11 May 2018)
  • Takeshi Okada

    IRN TXO01337

    • SMF9 Chair of the Governing Body (1 Mar 2021 to 13 Feb 2026)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Mar 2021)
    • CF3 Chief Executive (1 Aug 2018 to 8 Dec 2019)
    • CF1 Director (1 Aug 2018 to 8 Dec 2019)
  • Tamara McGivern

    IRN TXM01532

    • CF30 Customer (4 Nov 2008 to 31 Jul 2009)
  • Tatsuya Sugimura

    IRN TXS01380

    • CF3 Chief Executive (28 Oct 2009 to 9 Jul 2013)
    • CF1 Director (28 Oct 2009 to 9 Jul 2013)
    • CF2 Non Executive Director (1 Apr 2008 to 28 Oct 2009)
  • Tetsuya Manabe

    IRN TXM01390

    • CF2 Non Executive Director (10 Apr 2008 to 1 Sep 2009)
  • Tianhao Pan

    IRN TXP01216

    • CF30 Customer (10 Feb 2009 to 19 Aug 2011)

Recent activity

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

No changes recorded yet.