Date authorised
1 April 2013
Companies House
01880176
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Southwest House
    11a Regent Street St James's
    London
    SW1Y 4LR
    UNITED KINGDOM
    Phone
    +442035358101
  • Complaints Contact

    Southwest House
    11a Regent Street St James's
    London
    SW1Y 4LR
    UNITED KINGDOM
    Phone
    +442035358128

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, Spread Bet, Unit, Warrant

  • 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, Spread Bet, Unit, Warrant

  • Arranges Asset Safekeeping

    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, 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, 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

  • 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, 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

  • Private Investment Funds

  • Manages Your Portfolio

    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, Unit, Warrant

Approved individuals

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

  • Ian Scott Lance

    IRN ISL01013

    • CF27 Investment Management (8 Feb 2006 to 30 Jan 2007)
  • John Lincoln Duffield

    IRN JLD01024

    • CF8 Apportionment and Oversight (8 May 2003 to 31 Oct 2007)
    • CF3 Chief Executive (8 May 2003 to 2 Apr 2009)
    • CF1 Director (8 May 2003 to 2 Apr 2009)
  • John Warren Stoddart

    IRN JWS01144

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (17 Aug 2011 to 8 Dec 2019)
  • Jorry Rask Noeddekaer

    IRN JRN01044

    • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
    • CF27 Investment Management (12 Oct 2006 to 31 Oct 2007)
  • Julian Linton

    IRN JXL01192

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (13 Jun 2017 to 8 Dec 2019)
  • Keith Charles Brown

    IRN KCB01012

    • CF1 Director (1 Dec 2001 to 17 Mar 2009)
  • Lucy Monica Bernays

    IRN LMB01076

    • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
    • CF27 Investment Management (1 Mar 2002 to 31 Oct 2007)
  • Luis Alves De Lima

    IRN LXA01441

    • [FCA CF] Client dealing (since 3 Jun 2024)
  • Mark Hurley

    IRN MXH01312

    • CF30 Customer (1 Nov 2007 to 15 May 2009)
    • CF26 Customer Trading (2 May 2007 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 2 May 2007)
  • Mark Sydney Beale

    IRN MSB01088

    • CF2 Non Executive Director (12 Jul 2016 to 31 Aug 2018)
    • CF30 Customer (1 Nov 2007 to 12 Jul 2016)
    • CF28 Systems and controls (1 Nov 2007 to 7 Oct 2014)
    • CF14 Risk Assessment (24 Sep 2002 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 12 Jul 2016)

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.