Date authorised
1 November 2018
Companies House
OC420831
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    48 Dover Street
    2nd Floor
    London
    Westminster
    W1S 4FF
    UNITED KINGDOM
    Phone
    +442075446500
  • Complaints Contact

    48 Dover Street
    2nd Floor
    London
    Westminster
    W1S 4FF
    UNITED KINGDOM
    Phone
    +442075446500

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 Professional, Alternative Debenture, 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, Emissions Allowance, 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.
  • 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, Alternative Debenture, 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, Emissions Allowance, 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, Alternative Debenture, 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, Emissions Allowance, 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

Approved individuals

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

  • Simon Henry Bray Bray-Stacey

    IRN SXB15869

    • [FCA CF] Client dealing (1 May 2023 to 27 Jun 2024)
  • Vanessa Luise Zampiga

    IRN VLZ01000

    • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jun 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2022)
    • CF10 Compliance Oversight (1 Nov 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2018 to 8 Dec 2019)
  • Ying Zhu

    IRN YXZ08465

    • [FCA CF] Client dealing (1 May 2023 to 27 Jun 2024)

Recent activity

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

No changes recorded yet.