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.

  • Kate Elizabeth Evers

    IRN KEE01005

    • CF22 Investment Adviser (Trainee) (5 Sep 2005 to 7 Dec 2006)
  • Kevin Patrick Street

    IRN KPS01023

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2006)
  • Kurt Bjorklund

    IRN KXB01195

    • [FCA CF] Client dealing (since 24 Feb 2021)
    • SMF27 Partner (9 Dec 2019 to 1 May 2025)
    • CF30 Customer (27 May 2008 to 8 Dec 2019)
    • CF4 Partner (27 May 2008 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2003)
  • Leanne May Buckham

    IRN LMB01098

    • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
    • CF22 Investment Adviser (Trainee) (10 Mar 2004 to 31 Oct 2007)
  • Lionel Gregory Philippe Hill

    IRN LXH00408

    • [FCA CF] Material risk taker (since 14 Dec 2022)
    • [FCA CF] Significant management (since 19 Oct 2022)
  • Marcel Lacaze

    IRN MXL02305

    • CF30 Customer (17 Jan 2017 to 2 Dec 2019)
    • CF4 Partner (17 Jan 2017 to 2 Dec 2019)
  • Martin Andrew Clarke

    IRN MAC01204

    • CF4 Partner (1 Mar 2010 to 6 Jan 2012)
    • CF30 Customer (1 Nov 2007 to 6 Jan 2012)
    • CF21 Investment Adviser (11 Oct 2002 to 31 Oct 2007)
  • Matthieu Jean-Robert M Roussellier

    IRN MJR01409

    • CF30 Customer (23 Sep 2011 to 25 Feb 2013)
  • Maximilian Borries Peter Biagosch

    IRN MBB01017

    • CF30 Customer (1 Nov 2007 to 1 Aug 2014)
    • CF21 Investment Adviser (1 Jun 2007 to 31 Oct 2007)
  • Michael Charles Garland

    IRN MCG01024

    • CF30 Customer (1 Nov 2007 to 1 Jan 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 1 Jan 2016)

Recent activity

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

No changes recorded yet.