Addresses
The contact details this firm has registered with the FCA.
-
Principal Place of Business
100 BishopsgateLondonEC2N 4AAUNITED KINGDOM- Phone
- +442076534000
-
Complaints Contact
100 BishopsgateLondonEC2N 4AAUNITED KINGDOM- Phone
- +442076534000
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
-
Buy-to-Let Mortgage Admin
-
Buy-to-Let Mortgage Arranging
-
Buy-to-Let Mortgage Lending
-
Mortgage Servicing
For Customer, Regulated mortgage contract
-
P2P Lending Advice
For Retail (Investment), Professional, Eligible Counterparty
-
Pension Transfer Advice
For Professional, Retail (Investment), Life Policy, Personal pension scheme, Unit, Rights to or interests in investments (Contractually Based Investments), Stakeholder pension scheme, Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · 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.
- · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
-
Investment Advice (no pensions)
For Retail (Investment), Retail (Non-Investment Insurance), Commercial, Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Non-investment insurance contracts, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Future (excluding a commodity future and a rolling spot forex contract), Commodity option and option on commodity future, Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
-
Mortgage Advice
For Customer, Regulated mortgage contract
-
Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
-
Arranges Investments
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Non-investment insurance contracts, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
-
Mortgage Arranging
For Customer, Regulated mortgage contract
-
Arranges Asset Safekeeping
For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Stakeholder pension scheme, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
-
Trade Settlement Routing
For Retail (Investment), Professional, Eligible Counterparty, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
-
Stockbroking
For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Personal pension scheme, Stakeholder pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
-
Mortgage Lending
For Customer, Regulated mortgage contract
-
Consumer Loans
-
Loan Servicing
-
Mortgage Setup
For Customer, Regulated mortgage contract
-
Investment Setup
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Non-investment insurance contracts, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments)
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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 Your Portfolio
For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Structured Deposits, Stakeholder pension scheme, Personal pension scheme, Debenture, Government and public security, Share, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments)
Show 3 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
- · This activity may only be carried on as a cross-border service, or through branches, in those EEA member states where the firm has exercised passporting rights which have been agreed and notified under the EU Banking Consolidation Directive, in respect of the Annex Activities listed in the said notifications.
-
Holds Your Assets
For Retail (Investment), Professional, Eligible Counterparty, Binary Bet, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Life Policy, Rights to or interests in investments (Contractually Based Investments), Stakeholder pension scheme, Personal pension scheme
Show 2 limitations Hide limitations
- · when dealing with retail clients, the firm may not carry out the investment activity in relation to a Binary Bet.
- · 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.
-
Electronic Trade Settlement
For Retail (Investment), Professional, Eligible Counterparty, Stakeholder pension scheme, Personal pension scheme, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security)
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
-
James Mark Rainbow
IRN JMR01076
- (1986)12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- (1985)14. Managing investments
- (1988)[FCA CF] Functions requiring qualifications (since 4 Nov 2024)
- (1987)[FCA CF] Client dealing (since 4 Nov 2024)
-
James Martin Hall
IRN JMH01351
- (625)CF30 Customer (13 Feb 2012 to 13 Jul 2012)
-
James McGregor
IRN JSM01112
- (502)[FCA CF] Client dealing (since 7 Mar 2017)
- (1650)[FCA CF] Material risk taker (7 Mar 2017 to 31 Oct 2024)
- (1651)[FCA CF] Manager of certification employee (7 Mar 2017 to 31 Dec 2017)
- (1649)CF30 Customer (16 May 2012 to 6 Mar 2016)
-
James Mullen
IRN JXM69233
- (2775)[FCA CF] Client dealing (11 Oct 2019 to 29 Jan 2026)
-
James Neilson Pettigrew
IRN JNP01022
- (3400)SMF9 Chair of the Governing Body (2 Feb 2017 to 31 Dec 2019)
- (3397)SMF14 Senior Independent Director (7 Mar 2016 to 2 Feb 2017)
- (3399)SMF10 Chair of the Risk Committee (7 Mar 2016 to 2 Feb 2017)
- (3398)SMF11 Chair of the Audit Committee (7 Mar 2016 to 2 Feb 2017)
- (3401)CF2 Non Executive Director (22 Dec 2009 to 6 Mar 2016)
-
James New
IRN JXN38362
- (2794)[FCA CF] Significant management (26 Nov 2018 to 29 Apr 2024)
- (2793)[FCA CF] Material risk taker (26 Nov 2018 to 29 Apr 2024)
-
James Nicholas Cracknell
IRN JNC01022
- (1078)CF30 Customer (1 Nov 2007 to 18 Jan 2011)
- (1079)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
-
James Nield
IRN JAN01037
- (2282)CF30 Customer (28 Mar 2008 to 17 May 2010)
-
James Nowak
IRN JEN01033
- (2012)CF30 Customer (1 Nov 2007 to 9 Sep 2010)
- (2013)CF22 Investment Adviser (Trainee) (22 Nov 2006 to 31 Oct 2007)
-
James Oakley Alder
IRN JOA00003
- (2116)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- (2115)7. Giving personal recommendations on long-term care insurance contracts
- (2117)4. Giving personal recommendations on retail investment products which are not broker funds
- (2118)[FCA CF] Client dealing (since 4 Nov 2024)
- (2120)[FCA CF] Functions requiring qualifications (since 4 Nov 2024)
- (2119)[FCA CF] Manager of certification employee (since 4 Nov 2024)
Recent activity
Updates to this firm's record on the FCA register.
-
controlled function added: (3059)[FCA CF] Manager of certification employee
-
controlled function added: (3058)[FCA CF] Client dealing
-
controlled function added: (3057)[FCA CF] Functions requiring qualifications
-
controlled function added: (3056)[FCA CF] Client dealing
-
controlled function added: (3055)4. Giving personal recommendations on retail investment products which are not broker funds
-
controlled function added: (3054)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
-
controlled function added: (3053)[FCA CF] Client dealing
-
controlled function added: (3052)[FCA CF] Significant management
-
controlled function added: (3051)[FCA CF] Manager of certification employee
-
controlled function added: (3050)[FCA CF] Material risk taker