Date authorised
1 April 2013
Companies House
OC320577
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
    One Babmaes Street
    London
    SW1Y 6HF
    UNITED KINGDOM
    Phone
    +4402070247600
  • Complaints Contact

    1st Floor
    One Babmaes Street
    London
    SW1Y 6HF
    UNITED KINGDOM
    Phone
    +4402070247600

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, 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, 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, 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, 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, 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, Government and public security, 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.
  • Private Investment Funds

Approved individuals

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

  • Jordan Edward Simon Kay

    IRN JXK00382

    • [FCA CF] Client dealing (since 4 Apr 2022)
  • Joseph Paul Krancki

    IRN JPK01081

    • [FCA CF] Client dealing (17 May 2021 to 30 Sep 2021)
  • Joshua Oliver Levy

    IRN JOL01012

    • CF30 Customer (7 Apr 2017 to 2 Jan 2019)
  • Justin Haschel Maltz

    IRN JHM01059

    • SMF27 Partner (since 24 Dec 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (15 Oct 2018 to 8 Dec 2019)
  • Katia Ana Vieira Mendonca

    IRN KXM15148

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (18 May 2019 to 8 Dec 2019)
  • Katia Sandra Frank

    IRN KSF01005

    • CF21 Investment Adviser (23 Oct 2006 to 29 Jun 2007)
  • Kay Sin

    IRN KXS00745

    • [FCA CF] Client dealing (since 20 Aug 2024)
  • Mark Steven Wignall

    IRN MSW01093

    • SMF1 Chief Executive (9 Dec 2019 to 30 Sep 2021)
    • SMF27 Partner (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (23 Oct 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (23 Oct 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (23 Oct 2006 to 31 Oct 2007)
  • Matthew Gordon-Smith

    IRN MXG02615

    • [FCA CF] Client dealing (9 Dec 2019 to 27 Apr 2023)
    • CF30 Customer (4 Apr 2017 to 8 Dec 2019)
  • Matthew Jones

    IRN MXJ00211

    • [FCA CF] Client dealing (18 May 2021 to 30 Sep 2021)

Recent activity

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

No changes recorded yet.