Date authorised
1 April 2013
Companies House
00064269
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Mallinson House,
    40-42 St. Peters Street
    St. Albans
    Hertfordshire
    AL1 3NP
    UNITED KINGDOM
    Phone
    +4401727832161
  • Complaints Contact

    Mallinson House
    40-42 St. Peter's Street
    St. Albans
    Hertfordshire
    AL1 3NP
    UNITED KINGDOM
    Phone
    +4401727832161

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

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • P2P Lending Advice

    For Commercial, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Manages Insurance Policies

    For All, Accident, Credit, Damage to property, Fire and natural forces, General liability, Goods in transit, Land Vehicles, Legal expenses, Miscellaneous financial loss, Motor vehicle liability, Sickness, Suretyship

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), 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), 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 2 limitations
    • · The firm, in carrying out this regulated activity, is limited to entering into transactions in a manner which, if the firm was an unauthorised person, would come within article 16 of the RAO.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Issues Insurance

    For All, Accident, Credit, Damage to property, Fire and natural forces, General liability, Goods in transit, Land Vehicles, Legal expenses, Miscellaneous financial loss, Motor vehicle liability, Sickness, Suretyship

  • Consumer Loans

  • Loan Servicing

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

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

  • Brendan Eamon McCafferty

    IRN BEM01035

    • SMF12 Chair of the Remuneration Committee (14 Feb 2023 to 31 Aug 2024)
    • Director of firm who is not a certification employee or a SMF manager (5 Oct 2021 to 31 Aug 2024)
  • Calum Mercer

    IRN CXM01079

    • SMF11 Chair of the Audit Committee (26 Sep 2024 to 31 Mar 2025)
  • Catherine Bruce

    IRN CXB01219

    • Director of firm who is not a certification employee or a SMF manager (12 Nov 2024 to 4 Dec 2025)
  • Christopher George Ide

    IRN CGI01001

    • CF2 Non Executive Director (16 Dec 2008 to 9 Apr 2009)
  • Coll Michaels

    IRN CXM01683

    • CF2 Non Executive Director (19 Apr 2005 to 29 Nov 2005)
  • David Sukert

    IRN DXS01384

    • CF2 Non Executive Director (1 Dec 2001 to 27 Apr 2004)
  • Denis Francis Houlihan

    IRN DFH01027

    • CF2 Non Executive Director (3 Aug 2004 to 20 Sep 2005)
  • Dilip Joshi

    IRN DXJ01193

    • CF2 Non Executive Director (16 Mar 2006 to 6 Mar 2016)
  • Gareth Richards

    IRN GGR01018

    • SMF16 Compliance Oversight (since 10 Dec 2018)
    • SMF5 Head of Internal Audit (since 10 Dec 2018)
    • SMF4 Chief Risk (since 10 Dec 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Dec 2018)
    • SIMF4 Chief Risk Function (8 Nov 2016 to 9 Dec 2018)
    • SIMF5 Head of Internal Audit Function (8 Nov 2016 to 9 Dec 2018)
    • CF11 Money Laundering Reporting (8 Nov 2016 to 9 Dec 2018)
    • CF10 Compliance Oversight (16 May 2007 to 9 Dec 2018)
  • Gerald Martin Alexander

    IRN GMA01023

    • CF2 Non Executive Director (1 Dec 2001 to 29 Nov 2005)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.