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.

  • James Alexander Burrell

    IRN JAB01335

    • CF30 Customer (1 Nov 2007 to 30 May 2008)
    • CF22 Investment Adviser (Trainee) (29 Jun 2004 to 31 Oct 2007)
  • James Annand Fraser

    IRN JAF01157

    • CF4 Partner (19 Apr 2011 to 1 Apr 2019)
    • CF30 Customer (21 Nov 2008 to 1 Apr 2019)
  • Jane Gilbert Boot

    IRN JAG01220

    • CF30 Customer (20 Oct 2008 to 30 Jun 2012)
  • Jean-Philippe Barade

    IRN JXB01719

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF21 Investment Adviser (6 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 Apr 2002 to 31 Dec 2002)
  • Jessica Lucy Ferm

    IRN JLF01073

    • CF30 Customer (18 Oct 2013 to 8 Dec 2019)
  • John David Alcock

    IRN JDA01081

    • CF30 Customer (6 May 2015 to 21 Dec 2018)
  • Jonathan Alexander Lowe

    IRN JAL01104

    • CF28 Systems and controls (1 Nov 2007 to 15 Jan 2010)
    • CF30 Customer (1 Nov 2007 to 21 Jun 2010)
    • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Joseph Edward Shipley

    IRN JES01179

    • CF30 Customer (1 Oct 2008 to 23 Apr 2010)
  • Joseph McIntyre

    IRN JAM01253

    • CF30 Customer (1 Nov 2007 to 8 Apr 2011)
    • CF21 Investment Adviser (1 Jun 2007 to 31 Oct 2007)
  • Karl Christian Wallentin

    IRN KCW01016

    • CF30 Customer (1 Nov 2007 to 15 Jan 2010)
    • CF21 Investment Adviser (6 Dec 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.