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.

  • Paul Meyrick Mullins

    IRN PMM01145

    • CF30 Customer (26 Feb 2010 to 21 Nov 2011)
  • Paul Richard Armstrong

    IRN PRA01052

    • CF4 Partner (17 Jun 2015 to 9 Dec 2019)
    • CF30 Customer (1 Jan 2008 to 8 Dec 2019)
  • Peter George Gibbs

    IRN PGG01024

    • [FCA CF] Significant management (since 1 Jan 2024)
    • SMF27 Partner (9 Dec 2019 to 10 Dec 2021)
    • CF4 Partner (10 Apr 2015 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2007 to 15 Jan 2010)
    • CF11 Money Laundering Reporting (15 Apr 2002 to 15 Jan 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Peter Smitham

    IRN PXS01277

    • CF30 Customer (1 Nov 2007 to 14 Jan 2014)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 14 Jan 2014)
  • Philip Sebastian Muelder

    IRN PSM01097

    • CF4 Partner (17 Feb 2012 to 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (12 Nov 2004 to 31 Oct 2007)
  • Philip Simon Lloyd Bassett

    IRN PSB01049

    • CF4 Partner (1 Mar 2010 to 5 Jan 2015)
    • CF30 Customer (1 Nov 2007 to 5 Jan 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Philippe Andre Charles Robert

    IRN PAR01161

    • CF30 Customer (1 Nov 2007 to 15 Jan 2010)
    • CF21 Investment Adviser (12 Dec 2005 to 31 Oct 2007)
  • Pierre Charles Andre Pozzo

    IRN PCP01030

    • CF30 Customer (3 Oct 2013 to 8 Dec 2019)
  • Rebecca Verena Zimmerman

    IRN RVZ01000

    • CF30 Customer (22 Oct 2010 to 8 Dec 2019)
  • Riccardo Giuseppe Basile

    IRN RGB01145

    • CF30 Customer (7 Apr 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.