Date authorised
1 April 2013
Companies House
01007798
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor Limelight
    Elstree Way
    Borehamwood
    Hertfordshire
    WD6 1JH
    UNITED KINGDOM
    Phone
    +4402082079000
  • Complaints Contact

    4th Floor Limelight
    Elstree Way
    Borehamwood
    Hertfordshire
    WD6 1JH
    UNITED KINGDOM
    Phone
    +4402082079000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Bank Deposits

    For All, Deposit

    Show 1 limitation
    • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.
  • P2P Lending Advice

    For Commercial, Professional, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Non-Investment Insurance), Non-investment insurance contracts

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Manages Insurance Policies

    For All, Accident, Assistance, Capital redemption, Credit, Damage to property, Fire and natural forces, General liability, Goods in transit, Land Vehicles, Legal expenses, Liability for ships, Life and annuity, Linked long-term, Marriage and birth, Miscellaneous financial loss, Motor vehicle liability, Pension fund management, Permanent health, Ships, Sickness, Suretyship

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Issues Insurance

    For All, Accident, Assistance, Capital redemption, Credit, Damage to property, Fire and natural forces, General liability, Goods in transit, Land Vehicles, Legal expenses, Liability for ships, Life and annuity, Linked long-term, Marriage and birth, Miscellaneous financial loss, Motor vehicle liability, Pension fund management, Permanent health, Ships, Sickness, Suretyship

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Holds Your Assets

    For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Patrick Louis Marie Lucien Caris

    IRN PLC01064

    • SIMF5 Head of Internal Audit Function (7 Mar 2016 to 30 Jun 2016)
    • CF28 Systems and controls (11 Sep 2014 to 6 Mar 2016)
  • Paul Christian Brotzel

    IRN PCB01120

    • CF29 Significant management (5 Apr 2013 to 11 Apr 2014)
  • Paul Edward Glen

    IRN PEG01018

    • Responsible for Insurance Mediation (4 Feb 2013 to 30 Nov 2015)
    • CF11 Money Laundering Reporting (16 Apr 2008 to 3 Jun 2008)
    • CF10 Compliance Oversight (16 Apr 2008 to 3 Jun 2008)
    • CF1 Director (1 Aug 2006 to 30 Nov 2015)
    • CF8 Apportionment and Oversight (1 Aug 2006 to 30 Nov 2015)
    • CF3 Chief Executive (1 Aug 2006 to 30 Nov 2015)
  • Peter John Bloxham

    IRN PJB01190

    • Responsible for Insurance Mediation (27 Mar 2006 to 31 Mar 2008)
    • CF1 Director (7 Aug 2002 to 31 Mar 2008)
    • CF10 Compliance Oversight (20 Dec 2001 to 31 Mar 2008)
    • CF11 Money Laundering Reporting (20 Dec 2001 to 31 Mar 2008)
  • Peter John Box

    IRN PJB01468

    • SMF10 Chair of the Risk Committee (10 Dec 2018 to 26 Nov 2019)
    • SMF11 Chair of the Audit Committee (10 Dec 2018 to 26 Nov 2019)
    • SIMF10 Chair of the Risk Committee (7 Mar 2016 to 9 Dec 2018)
    • SIMF11 Chair of the Audit Committee (7 Mar 2016 to 9 Dec 2018)
    • CF2 Non Executive Director (1 Sep 2012 to 6 Mar 2016)
  • Peter John Morgan

    IRN PJM32959

    • [PRA CF] Key function holder (10 Dec 2018 to 30 Jun 2022)
  • Philip Aiden Ward

    IRN PAW01236

    • SMF2 Chief Finance (10 Dec 2018 to 1 Apr 2019)
    • SIMF2 Chief Finance Function (30 Aug 2016 to 9 Dec 2018)
  • Pierre Jean Marie De Portier De Villeneuve

    IRN PXD01166

    • CF2 Non Executive Director (1 Dec 2001 to 29 Nov 2007)
  • Rachel Dawn Mulheron

    IRN RDM01168

    • [FCA CF] Significant management (10 Dec 2018 to 18 Sep 2023)
  • Renaud Dumora

    IRN RXD01522

    • CF2 Non Executive Director (9 Mar 2010 to 23 Dec 2014)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.