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.

  • Stephen John Coates

    IRN SJC01175

    • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2003)
  • Sumit Sinha

    IRN SXS02354

    • CF30 Customer (2 Oct 2008 to 21 Jul 2010)
  • Tamara Sakovska

    IRN TXS01343

    • CF22 Investment Adviser (Trainee) (12 Nov 2004 to 31 Jan 2007)
  • Therese Jasmine Hofman

    IRN TXH00323

    • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jul 2023 to 24 May 2024)
    • SMF16 Compliance Oversight (12 Jan 2023 to 24 May 2024)
  • Timothy Edward Easingwood

    IRN TEE01005

    • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2004)
  • Timothy John Bevan

    IRN TJB01113

    • CF30 Customer (21 Oct 2008 to 30 Jan 2009)
  • Veronica Siang-Yang Eng

    IRN VSE01002

    • CF28 Systems and controls (1 Nov 2007 to 1 Jan 2013)
    • CF30 Customer (1 Nov 2007 to 2 Oct 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 2 Oct 2015)
  • Victoria Stella Kayser

    IRN VSK01010

    • CF30 Customer (5 Feb 2015 to 8 Dec 2019)
  • Vivek Kumar

    IRN VXK01019

    • CF21 Investment Adviser (1 Dec 2007 to 31 Oct 2007)
    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
  • Wouter Kees Snoeijers

    IRN WKS01008

    • CF30 Customer (1 Nov 2007 to 1 Apr 2013)
    • CF21 Investment Adviser (28 Feb 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.