Date authorised
17 November 2012
Companies House
OC312768
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    12th Floor
    110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402078473700
  • Complaints Contact

    12th Floor
    110 Bishopsgate
    London
    EC2N 4AY
    UNITED KINGDOM
    Phone
    +4402078473700

What this firm is allowed to do

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

  • 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • Stockbroking

    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 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.
  • 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.
  • 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 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.

  • Stephen Lister

    IRN SXL22804

    • SMF27 Partner (23 Jan 2020 to 28 Mar 2023)
  • Steven Le Moing

    IRN SXL00554

    • [FCA CF] Client dealing (since 17 Jan 2023)
    • [FCA CF] Manager of certification employee (19 Oct 2023 to 2 May 2025)
  • Takako Kawasaki

    IRN TXK00288

    • [FCA CF] Client dealing (13 Dec 2024 to 28 Nov 2025)
  • Takamasa Ishiwata

    IRN TXI00016

    • [FCA CF] Client dealing (30 Jun 2020 to 11 Jun 2021)
  • Thomas Michael Koller

    IRN TXK00299

    • [FCA CF] Manager of certification employee (since 15 May 2025)
    • [FCA CF] Client dealing (since 15 May 2025)
  • Tiyasha Emma Auddy

    IRN TXA00207

    • [FCA CF] Manager of certification employee (23 May 2025 to 3 Feb 2026)
    • [FCA CF] Client dealing (30 Jan 2023 to 3 Feb 2026)
  • Urs Ramseier

    IRN UXR01038

    • [FCA CF] Client dealing (since 13 Mar 2025)
    • SMF1 Chief Executive (since 6 Mar 2025)
  • Vegard Nilsen

    IRN VXN01040

    • SMF1 Chief Executive (9 Dec 2019 to 5 Feb 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Jun 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Jun 2020)
    • SMF27 Partner (9 Dec 2019 to 5 Feb 2025)
    • CF3 Chief Executive (11 May 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Feb 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (23 Jan 2014 to 3 Mar 2017)
    • CF4 Partner (25 Jul 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (20 Dec 2006 to 31 Oct 2007)
  • Vittorio Carlomaria Sangiorgio

    IRN VXS00284

    • [FCA CF] Client dealing (since 9 Mar 2026)
  • Weston Tompkins

    IRN WXT00025

    • [FCA CF] Manager of certification employee (14 Sep 2021 to 28 Feb 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)

Recent activity

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

No changes recorded yet.