Date authorised
1 April 2013
Companies House
OC300172
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    80 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +4402076321000
  • Complaints Contact

    80 Pall Mall
    London
    SW1Y 5ES
    UNITED KINGDOM
    Phone
    +4402076321000

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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, 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), Share, Unit, Warrant

    Show 3 limitations
    • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, 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), Share, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, 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), Share, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

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

  • Richard Allen Haight

    IRN RAH01147

    • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2002)
    • CF4 Partner (1 Dec 2001 to 31 Aug 2002)
  • Richard Andrew Sanders

    IRN RAS01131

    • [FCA CF] Manager of certification employee (since 16 Jan 2023)
    • [FCA CF] Client dealing (since 24 Feb 2021)
    • CF30 Customer (7 Apr 2011 to 8 Dec 2019)
    • CF4 Partner (7 Apr 2011 to 9 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard Charles Carey

    IRN RCC01038

    • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2002)
  • Robin Bell-Jones

    IRN RXB01283

    • [FCA CF] Material risk taker (since 18 Feb 2025)
    • SMF27 Partner (since 16 Jan 2023)
    • CF4 Partner (15 Apr 2011 to 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rory Malcolm Cullinan

    IRN RXC01304

    • CF21 Investment Adviser (1 Mar 2005 to 30 Sep 2006)
  • Sabina Melanie Pamela Di Mauro

    IRN SMD01139

    • CF30 Customer (12 Feb 2010 to 6 Nov 2012)
  • Sally Deborah Flanagan

    IRN SDF01023

    • CF30 Customer (1 Nov 2007 to 4 May 2012)
    • CF21 Investment Adviser (1 Aug 2006 to 31 Oct 2007)
  • Sheryl Weiqing Bates

    IRN SWB01096

    • CF30 Customer (22 Mar 2012 to 5 Jan 2015)
  • Simon Marc

    IRN SXM02306

    • CF4 Partner (9 Feb 2015 to 13 Jul 2015)
    • CF30 Customer (1 Nov 2013 to 13 Jul 2015)
  • Stephanie Hart

    IRN SXH02199

    • CF30 Customer (12 Mar 2012 to 21 Oct 2015)

Recent activity

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

No changes recorded yet.