Rosetta Capital Limited

Date authorised
29 October 2004
Companies House
03941653
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Rectory House
    Thame Road
    Haddenham
    Aylesbury
    HP17 8DA
    UNITED KINGDOM
    Phone
    +4401844290461
    Web
    https://www.rosettacapital.com

  • Complaints Contact

    Rectory House
    Thame Road
    Haddenham
    Aylesbury
    Bucks
    HP17 8DA
    UNITED KINGDOM
    Phone
    +4402071948080

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, 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, 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), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

    Show 6 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.
    • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

  • 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, 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, 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), Rolling spot forex contract, Share, Unit, Warrant

    Show 7 limitations
    • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
    • · 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.
    • · Limited to unregulated collective investment scheme share exchange operations and, in carrying on such operations to the specified investments listed other than, all contractually based investments.
    • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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, 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), Rolling spot forex contract, Share, 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.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, 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, 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), Rolling spot forex contract, Share, Unit, Warrant

    Show 7 limitations
    • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
    • · 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.
    • · Limited to transaction-only activities.
    • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, 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, 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), Rolling spot forex contract, Share, Unit, Warrant

    Show 5 limitations
    • · Limited to unregulated collective investment scheme operations and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract" and "rights to or interest in investment - contractually based investment", (when the latter is associated with these specified investment) and to the customer type "professional client".
    • · 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.
    • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
    • · Limited to activities connected with corporate finance business and in carrying on such activities to the specified investments listed other than, "stakeholder pension scheme" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

Approved individuals

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

  • Michael Forer

    IRN MXF01212

    • SMF3 Executive Director (since 7 Jun 2024)
    • CF2 Non Executive Director (14 Jan 2009 to 24 Feb 2020)
    • CF11 Money Laundering Reporting (19 Feb 2008 to 12 Jan 2009)
    • CF30 Customer (1 Nov 2007 to 12 Jan 2009)
    • CF28 Systems and controls (1 Nov 2007 to 12 Jan 2009)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 12 Jan 2009)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 12 Jan 2009)
    • CF1 Director (1 Dec 2001 to 14 Jan 2009)
  • Michelle Suzanne Doig

    IRN MXD01322

    • CF23 Corporate Finance Adviser (29 Jan 2003 to 7 Jun 2004)
  • Nicholas Lucas Hart

    IRN NLH01013

    • CF1 Director (20 May 2003 to 21 Feb 2005)
  • Robert Edwin Glover Iggulden

    IRN REI00002

    • CF2 Non Executive Director (1 Dec 2001 to 19 Dec 2008)
  • Robin James Morrison Wright

    IRN RJW01287

    • CF30 Customer (1 Nov 2007 to 30 May 2008)
    • CF1 Director (18 Dec 2006 to 30 May 2008)
    • CF23 Corporate Finance Adviser (1 Sep 2005 to 31 Oct 2007)
  • SARAH LAIDLER

    IRN SXL02120

    • [FCA CF] Significant management (5 Jan 2021 to 27 Nov 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Nov 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Nov 2025)
    • CF10 Compliance Oversight (20 Jul 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (20 Jul 2016 to 8 Dec 2019)
  • Terrence Marshall Morris

    IRN TMM01051

    • CF2 Non Executive Director (28 Apr 2004 to 29 Jun 2004)
    • CF1 Director (28 Mar 2003 to 28 Apr 2004)
  • Timothy Martin Trowell

    IRN TMT01011

    • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Jan 2008)
  • Torsten Ruediger Goesch

    IRN TRG01019

    • SMF3 Executive Director (9 Dec 2019 to 5 Sep 2024)
    • CF1 Director (5 Aug 2003 to 2 May 2013)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Jeremy Curnock Cook (no longer appointed)

    FRN 496402 · Appointed 16 Feb 2009 · Until 30 Dec 2009

  • Transformrx Gmbh (no longer appointed)

    FRN 436264 · Appointed 1 Aug 2005 · Until 14 Mar 2008

Recent activity

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

No changes recorded yet.