Date authorised
1 April 2013
Companies House
OC328419
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Broadbent House
    65 Grosvenor Street
    London
    W1K 3JH
    UNITED KINGDOM
    Phone
    +4402032058400
  • Complaints Contact

    Broadbent House
    65 Grosvenor Street
    London
    W1K 3JH
    UNITED KINGDOM
    Phone
    +4402032058400

What this firm is allowed to do

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

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

  • Christoph Alexander Ernst Anthony

    IRN CAA01100

    • [FCA CF] Client dealing (since 1 Jan 2020)
  • Egon Pierre Durban

    IRN EPD01016

    • CF10 Compliance Oversight (30 Aug 2007 to 28 Sep 2007)
    • CF4 Partner (30 Aug 2007 to 5 Jul 2010)
    • CF3 Chief Executive (30 Aug 2007 to 5 Jul 2010)
    • CF11 Money Laundering Reporting (30 Aug 2007 to 28 Sep 2007)
    • CF8 Apportionment and Oversight (30 Aug 2007 to 31 Oct 2007)
  • Emile Fauquenot

    IRN EXF00002

    • [FCA CF] Client dealing (since 1 Sep 2025)
  • Harvey George

    IRN HXG00246

    • [FCA CF] Client dealing (since 1 Sep 2025)
  • Ian Jonathan Ball

    IRN IJB01067

    • CF4 Partner (3 Sep 2008 to 11 Sep 2009)
  • Imke Koberg

    IRN IXK00172

    • [FCA CF] Client dealing (1 Sep 2025 to 25 Sep 2025)
  • Jacqueline Bethia Petts

    IRN JBP01053

    • CF11 Money Laundering Reporting (2 Mar 2015 to 29 Jun 2015)
    • CF10 Compliance Oversight (2 Oct 2007 to 14 Jun 2012)
    • CF4 Partner (30 Aug 2007 to 14 Jun 2012)
  • Jieyeon Kim

    IRN JXK00777

    • [FCA CF] Client dealing (since 10 Mar 2025)
  • John Patrick Flynn

    IRN JPF01081

    • CF4 Partner (12 Aug 2011 to 1 Jul 2015)
  • Jonathan Galore

    IRN JXG02105

    • SMF27 Partner (since 3 Nov 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF4 Partner (30 Jun 2015 to 9 Dec 2019)

Recent activity

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

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