Date authorised
1 April 2013
Companies House
03696615
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Windmill Hill Business Park
    Whitehall Way
    Swindon
    Wiltshire
    SN5 6PB
    UNITED KINGDOM
    Phone
    +441793877777
  • Complaints Contact

    60 Threadneedle Street
    London
    EC2R 8HP
    UNITED KINGDOM
    Phone
    +447769301960

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, 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), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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, 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), Rights to or interests in investments (Contractually Based Investments)

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

    For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments)

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

    For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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.

  • Peter Manfred Kreuzberg

    IRN PXU01020

    • CF1 Director (15 Nov 2004 to 26 Jun 2012)
    • CF3 Chief Executive (15 Nov 2004 to 26 Jun 2012)
    • CF8 Apportionment and Oversight (15 Nov 2004 to 31 Mar 2009)
  • Philip Smith

    IRN PXS07452

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Dec 2018 to 8 Dec 2019)
  • Pierre Louis Charles Francois De Gaulle

    IRN PXD01245

    • CF21 Investment Adviser (10 Mar 2003 to 11 Nov 2003)
  • Rajbir Singh Mann

    IRN RSM01090

    • CF21 Investment Adviser (27 Feb 2003 to 1 Mar 2005)
  • Ravi Khosla

    IRN RXK01139

    • CF30 Customer (1 Nov 2007 to 23 Jun 2016)
    • CF21 Investment Adviser (24 Jun 2003 to 31 Oct 2007)
  • Richard Brian Wilson

    IRN RBW01044

    • CF30 Customer (16 Nov 2012 to 29 Mar 2016)
  • Richard Harper

    IRN RXH01388

    • CF21 Investment Adviser (30 Apr 2002 to 15 Aug 2005)
  • Richard James Michael Baron

    IRN RJB01299

    • CF10 Compliance Oversight (8 Sep 2005 to 14 May 2012)
    • CF11 Money Laundering Reporting (1 Mar 2002 to 1 Mar 2002)
  • Richard James Robinson

    IRN RJR01122

    • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • CF21 Investment Adviser (10 Jul 2007 to 31 Oct 2007)
  • Robert Lawson Smith

    IRN RLS01052

    • CF30 Customer (1 Nov 2007 to 4 Nov 2009)
    • CF21 Investment Adviser (1 Feb 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.