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.

  • Atsushi Kume

    IRN AXK01882

    • CF2 Non Executive Director (28 May 2010 to 31 Mar 2015)
  • Atsushi Maruyama

    IRN AXM02463

    • CF14 Risk Assessment
    • CF28 Systems and controls (1 Apr 2008 to 13 Jun 2011)
  • Brian Chapman

    IRN BXC01120

    • CF30 Customer (1 Apr 2015 to 8 Jul 2016)
  • Brittany Brooke Boles

    IRN BXB00323

    • [FCA CF] Client dealing (since 14 Jul 2023)
  • Callum Michael Rich

    IRN CXR00544

    • [FCA CF] Client dealing (since 14 Jun 2024)
    • [FCA CF] Proprietary trader (since 14 Jun 2024)
  • Chia Ren Neo

    IRN CXN00094

    • [FCA CF] Significant management (since 1 Oct 2021)
    • [FCA CF] Manager of certification employee (since 1 Oct 2021)
    • [FCA CF] Material risk taker (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 26 Apr 2021)
    • CF21 Investment Adviser (31 Oct 2007 to 31 Oct 2007)
  • Christina Tserektsidi

    IRN CXT57235

    • [FCA CF] Client dealing (since 1 Oct 2025)
    • [FCA CF] Material risk taker (since 1 Oct 2025)
    • [FCA CF] Algorithmic trading (since 1 Oct 2025)
  • Chun Kiat Yap

    IRN CKY01004

    • CF30 Customer (1 Nov 2010 to 21 Mar 2011)
  • Conor Henry McCarthy

    IRN CHM01034

    • CF21 Investment Adviser
    • CF30 Customer (1 Apr 2008 to 16 Nov 2009)
  • Conrad Joseph Francis Carvalho

    IRN CJC01161

    • CF26 Customer Trading
    • CF30 Customer (1 Apr 2008 to 19 Apr 2010)

Recent activity

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

No changes recorded yet.