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.

  • Christophe Jean Marie Nicolas

    IRN NXC01100

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2004)
  • Christopher James North

    IRN CJN01070

    • CF4 Partner (18 Jan 2017 to 9 Dec 2019)
    • CF30 Customer (29 Apr 2013 to 8 Dec 2019)
  • Christopher John Davison

    IRN CJD01146

    • [FCA CF] Significant management (24 Feb 2021 to 18 Dec 2024)
    • CF4 Partner (27 Apr 2015 to 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (20 Sep 2005 to 31 Oct 2007)
  • Christopher Jon Pell

    IRN CJP01190

    • CF4 Partner (25 Jun 2015 to 9 Dec 2019)
    • CF30 Customer (20 Sep 2010 to 8 Dec 2019)
  • Christopher Patrick Edward Buchanan

    IRN CPB01082

    • [FCA CF] Significant management (since 1 Jan 2025)
  • Christopher Thomas Crozier

    IRN CTC01027

    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2023)
    • CF4 Partner (6 Mar 2015 to 9 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2008 to 30 Apr 2010)
  • Damon Marcus Buffini

    IRN DMB01119

    • CF30 Customer (1 Nov 2007 to 2 Oct 2015)
    • CF14 Risk Assessment (1 Dec 2001 to 1 Feb 2006)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 1 Feb 2006)
    • CF4 Partner (1 Dec 2001 to 2 Oct 2015)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Feb 2006)
  • David Christopher O'Brien

    IRN DCO01016

    • CF30 Customer (1 Nov 2007 to 31 Jul 2016)
    • CF22 Investment Adviser (Trainee) (10 Apr 2002 to 31 Oct 2007)
  • Declan Feeney

    IRN DXF01096

    • CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2007)
  • Derek James Elliott

    IRN DJE01046

    • CF21 Investment Adviser (1 Dec 2001 to 21 Oct 2006)

Recent activity

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

No changes recorded yet.