Date authorised
1 April 2013
Companies House
05857926
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    UK House
    5th Floor
    164-182 Oxford Street
    London
    Westminster
    W1D 1NN
    UNITED KINGDOM
    Phone
    +4403450404555
  • Complaints Contact

    UK House
    5th Floor
    164-182 Oxford Street
    London
    W1D 1NN
    UNITED KINGDOM
    Phone
    +4403450404555

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

    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, 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.
  • 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, 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, 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.
  • Runs Investment Funds

  • 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

    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

  • Manages Your Portfolio

    For 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.

Approved individuals

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

  • Michael Bullard

    IRN MXB00499

    • [FCA CF] Client dealing (since 1 Nov 2022)
    • [FCA CF] Client dealing (1 Jul 2021 to 6 Sep 2021)
  • Michael James Fryer

    IRN MJF01309

    • CF30 Customer (16 Jun 2015 to 3 Jul 2015)
  • Michael William Adams

    IRN MWA01026

    • CF22 Investment Adviser (Trainee)
    • SMF3 Executive Director (9 Dec 2019 to 13 Jan 2021)
    • CF3 Chief Executive (29 Nov 2007 to 31 Jul 2018)
    • CF1 Director (29 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (29 Nov 2007 to 8 Dec 2019)
  • Osama Raja

    IRN OXR01059

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Apr 2022)
    • SMF16 Compliance Oversight (since 7 Apr 2022)
  • Partha Vasudev

    IRN PXV01129

    • [FCA CF] Material risk taker (30 Jan 2024 to 30 Jun 2025)
    • [FCA CF] Client dealing (12 Sep 2022 to 30 Jun 2025)
  • Peter Dias

    IRN PXD00215

    • [FCA CF] Material risk taker (since 12 Sep 2022)
    • [FCA CF] Manager of certification employee (since 12 Sep 2022)
    • [FCA CF] Significant management (since 12 Sep 2022)
    • [FCA CF] Client dealing (since 6 Sep 2021)
  • Richard Howard-Parr

    IRN RXH02307

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Apr 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Apr 2022)
    • CF11 Money Laundering Reporting (10 Jun 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Jun 2019 to 8 Dec 2019)
  • SARAH JANE GARFITT

    IRN SXG00856

    • [FCA CF] Client dealing (12 Dec 2024 to 6 Mar 2026)
  • Samuel Goss

    IRN SXG00279

    • [FCA CF] Material risk taker (since 30 Jan 2024)
    • [FCA CF] Client dealing (since 1 Jul 2021)
  • Sara Grottola

    IRN SXG00854

    • [FCA CF] Client dealing (9 Dec 2024 to 6 Mar 2026)

Recent activity

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

No changes recorded yet.