Date authorised
14 November 2023
Companies House
14470906
Last scraped
4 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    232-238 Bishopsgate
    4th Floor
    Chanray House
    London
    City Of London
    EC2M 4QD
    UNITED KINGDOM
    Phone
    +442039602231
  • Complaints Contact

    232-238 Bishopsgate
    4th Floor
    London
    City Of London
    EC2M 4QD
    UNITED KINGDOM
    Phone
    +442039602231

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, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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, Alternative Debenture, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), 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.

Approved individuals

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

  • James Robert Riley

    IRN JRR01122

    • [FCA CF] Client dealing (16 Sep 2024 to 31 Mar 2025)
    • [FCA CF] Material risk taker (16 Sep 2024 to 31 Mar 2025)
  • Mehul Sudhir Sheth

    IRN MSS01155

    • SMF16 Compliance Oversight (since 6 Jun 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Jun 2024)
    • SMF3 Executive Director (since 13 Nov 2023)
  • Michael Konrad Lehneis

    IRN MXL00697

    • [FCA CF] Client dealing (since 16 Sep 2024)
    • [FCA CF] Material risk taker (since 16 Sep 2024)
  • Raju Kothari

    IRN RXK01392

    • SMF3 Executive Director (since 13 Nov 2023)
    • SMF1 Chief Executive (since 13 Nov 2023)
  • Sheikh Mohi Uddin Ahmed

    IRN MXA01290

    • SMF17 Money Laundering Reporting Officer (MLRO) (13 Nov 2023 to 17 Jul 2024)
    • SMF16 Compliance Oversight (13 Nov 2023 to 17 Jul 2024)

Recent activity

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

No changes recorded yet.