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.

  • Matthew Mead

    IRN MXM01416

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (12 Feb 2019 to 8 Dec 2019)
  • Michael James Walker

    IRN MJW01218

    • [FCA CF] Significant management (9 Dec 2019 to 1 Jul 2021)
    • CF10a CASS Oversight function (11 Dec 2013 to 2 Sep 2014)
    • CF10 Compliance Oversight (30 Jun 2012 to 6 Sep 2016)
    • CF11 Money Laundering Reporting (30 Jun 2012 to 6 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (23 Oct 2006 to 9 Dec 2019)
  • Min Eric Tung

    IRN MET01021

    • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)
    • CF4 Partner (23 Oct 2006 to 9 Dec 2019)
  • Nelida Lifac

    IRN NXL01131

    • CF11 Money Laundering Reporting (8 Jul 2010 to 12 Oct 2010)
    • CF10 Compliance Oversight (8 Jul 2010 to 12 Oct 2010)
  • Paul Julian Bramley

    IRN PJB01427

    • CF29 Significant management (14 Jun 2011 to 27 Apr 2012)
  • Philip Henry Marmion Dymoke

    IRN PHD01007

    • CF10 Compliance Oversight (23 Oct 2006 to 11 Jun 2010)
    • CF11 Money Laundering Reporting (23 Oct 2006 to 11 Jun 2010)
  • Pranav Ladva

    IRN PXL00424

    • [FCA CF] Client dealing (since 2 Feb 2026)
  • Richard Babington

    IRN RXB02244

    • Director of firm who is not a certification employee or a SMF manager (since 7 Apr 2026)
    • SMF27 Partner (24 Dec 2021 to 7 Apr 2026)
    • [FCA CF] Significant management (9 Dec 2019 to 7 Apr 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Apr 2026)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Apr 2026)
    • CF4 Partner (27 Aug 2015 to 9 Dec 2019)
    • CF30 Customer (23 Jan 2014 to 8 Dec 2019)
  • Robert Anthony Brittain

    IRN RAB01401

    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Sep 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Sep 2021)
    • SMF27 Partner (9 Dec 2019 to 30 Sep 2021)
    • CF10 Compliance Oversight (29 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Jun 2016 to 8 Dec 2019)
    • CF4 Partner (19 Jun 2012 to 8 Dec 2019)
  • Robert Michael Henry

    IRN RMH01058

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (23 Oct 2006 to 9 Dec 2019)
    • CF21 Investment Adviser (23 Oct 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.