Date authorised
15 December 1988
Companies House
FC004234
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    30 Old Bailey
    London
    EC4M 7AU
    UNITED KINGDOM
    Phone
    +442070124000
  • Complaints Contact

    30 Old Bailey
    London
    EC4M 7AU
    UNITED KINGDOM
    Phone
    +442070124000

What this firm is allowed to do

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

  • Bank Deposits

    For All, Deposit

  • 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, Structured Deposits, Unit, Warrant

    Show 2 limitations
    • · 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.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • 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, Retail (Investment), 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, Structured Deposits, Unit, Warrant

    Show 2 limitations
    • · 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.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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 Eligible Counterparty, Professional, Retail (Investment), 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, Spread Bet, Structured Deposits, Warrant

    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, Retail (Investment), 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 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, Retail (Investment), 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, Structured Deposits, Unit, Warrant

    Show 2 limitations
    • · 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.
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed "share", "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Masahide Sato

    IRN MXS79409

    • [FCA CF] Manager of certification employee (7 Mar 2021 to 16 May 2024)
    • [FCA CF] Client dealing (4 Aug 2018 to 16 May 2024)
    • [FCA CF] Material risk taker (4 Aug 2018 to 19 Nov 2021)
  • Masahiko Ejima

    IRN MXE00158

    • [FCA CF] Client dealing (6 Aug 2021 to 31 Jul 2024)
    • [FCA CF] Manager of certification employee (6 Aug 2021 to 31 Jul 2024)
    • [FCA CF] Material risk taker (6 Aug 2021 to 31 Jul 2024)
  • Masahiko Umemoto

    IRN MXU01042

    • CF29 Significant management (1 Apr 2012 to 28 Mar 2014)
    • CF30 Customer (22 Apr 2008 to 28 Mar 2014)
  • Masahiro Nakayama

    IRN MXN00472

    • [FCA CF] Client dealing (since 27 Feb 2026)
  • Masakatsu Hori

    IRN HXM01378

    • CF30 Customer (13 Jul 2010 to 16 May 2014)
  • Masamitsu Niwa

    IRN MXN00337

    • [FCA CF] Manager of certification employee (since 17 Mar 2025)
    • [FCA CF] Client dealing (since 1 Apr 2024)
  • Masanori Nakatsuka

    IRN MXN01269

    • [FCA CF] Client dealing (23 May 2018 to 7 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 20 Mar 2008)
    • CF26 Customer Trading (8 Apr 2005 to 31 Oct 2007)
  • Masanori Nishimura

    IRN MXN01105

    • [FCA CF] Client dealing (7 Mar 2016 to 20 Oct 2021)
  • Masaru Nakanishi

    IRN MXN01361

    • CF30 Customer (5 Sep 2008 to 7 Jan 2010)
  • Masashi Matsuzawa

    IRN MXM03354

    • CF30 Customer (22 Jul 2014 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.