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.

  • PAOLA MALEH

    IRN PXM02219

    • CF30 Customer (2 Dec 2011 to 23 Feb 2015)
  • Philip Jensen

    IRN PXJ00083

    • [FCA CF] Client dealing (since 1 Aug 2024)
  • Richard Orme

    IRN RXO00098

    • [FCA CF] Client dealing (1 Feb 2022 to 4 Oct 2024)
  • Sean Delehanty

    IRN SXD01585

    • CF4 Partner (30 Aug 2007 to 16 Apr 2012)
  • Seda Yalcinkaya

    IRN SXY01139

    • CF10 Compliance Oversight (17 Jul 2017 to 8 Mar 2019)
    • CF11 Money Laundering Reporting (17 Jul 2017 to 8 Mar 2019)
    • CF4 Partner (13 Apr 2012 to 8 Mar 2019)
  • Sicheng Pan

    IRN SXP40937

    • [FCA CF] Client dealing (since 1 Aug 2023)
  • Simon Patterson

    IRN SIP00009

    • SMF1 Chief Executive (since 13 Jul 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF3 Chief Executive (17 Oct 2014 to 21 Jul 2017)
    • CF30 Customer (28 Feb 2013 to 8 Dec 2019)
    • CF4 Partner (30 Aug 2007 to 8 Dec 2019)
  • Stephen Eric Robert Evans

    IRN SEE01024

    • CF4 Partner (18 Dec 2008 to 17 Sep 2014)
  • Thomas Kawalar

    IRN TXK00134

    • [FCA CF] Client dealing (since 8 Nov 2021)
  • Thomas Posa

    IRN TXP00214

    • [FCA CF] Client dealing (1 Aug 2022 to 18 Oct 2024)

Recent activity

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

No changes recorded yet.