Pallinghurst Advisors LLP

Date authorised
1 April 2013
Companies House
OC315855
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    11-12 Pall Mall
    London
    Westminster
    SW1Y 5LU
    UNITED KINGDOM
    Phone
    +4402075183399
    Web
    https://www.pallinghurst.com

  • Complaints Contact

    11-12 Pall Mall
    London
    SW1Y 5LU
    UNITED KINGDOM
    Phone
    +4402075183399

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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.

  • 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.

Approved individuals

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

  • ANTHONY CHRISTOPHER PAYNE

    IRN ACP01137

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Dec 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Dec 2024)
    • CF10 Compliance Oversight (11 Sep 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Sep 2015 to 8 Dec 2019)
    • CF28 Systems and controls (11 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (25 Nov 2010 to 8 Dec 2019)
  • Alexander William Middleton

    IRN AWM01153

    • CF30 Customer (30 Jul 2018 to 8 Dec 2019)
  • Andrew Paul Willis

    IRN APW01133

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (28 Nov 2008 to 21 May 2014)
    • CF4 Partner (20 Mar 2008 to 19 Mar 2014)
    • CF10 Compliance Oversight (27 Jun 2007 to 19 Mar 2014)
    • CF11 Money Laundering Reporting (27 Jun 2007 to 19 Mar 2014)
  • Arne Hojriis Frandsen

    IRN AXH01336

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (13 Nov 2008 to 4 Apr 2015)
    • CF4 Partner (3 Mar 2008 to 4 Apr 2015)
  • Brian Patrick Gilbertson

    IRN BPG01036

    • SMF27 Partner (9 Dec 2019 to 29 Nov 2021)
    • CF30 Customer (13 Nov 2008 to 8 Dec 2019)
    • CF4 Partner (27 Feb 2006 to 8 Dec 2019)
  • CATHERINE PARTINGTON

    IRN CXP01503

    • CF30 Customer (10 Nov 2010 to 6 Dec 2010)
  • Christopher James Powell

    IRN CJP01171

    • SMF16 Compliance Oversight (since 29 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jan 2025)
    • [FCA CF] Significant management (since 29 Nov 2021)
    • SMF27 Partner (since 4 Oct 2021)
    • CF11 Money Laundering Reporting (19 May 2014 to 9 Sep 2015)
    • CF10 Compliance Oversight (19 May 2014 to 17 Aug 2015)
    • CF4 Partner (20 Sep 2013 to 11 Sep 2015)
    • CF28 Systems and controls (6 Oct 2011 to 9 Sep 2015)
    • CF30 Customer (23 Dec 2008 to 20 May 2014)
  • Christopher Leslie Shepherd

    IRN CLS01106

    • SMF27 Partner (4 Jan 2021 to 15 Jun 2021)
    • CF30 Customer (11 Jun 2010 to 4 Dec 2017)
  • Devidas Shetty

    IRN DXS01991

    • CF30 Customer (19 Dec 2008 to 31 Dec 2009)
  • Dhiraj Aery

    IRN DXA01509

    • CF30 Customer (26 Apr 2011 to 18 Aug 2011)
Show more

Recent activity

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

No changes recorded yet.