Date authorised
1 April 2013
Companies House
06708492
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3 Queen Street
    London
    Westminster
    W1J 5PA
    UNITED KINGDOM
    Phone
    +4402070998328
  • Complaints Contact

    3 Queen Street
    London
    W1J 5PA
    UNITED KINGDOM
    Phone
    +4402070998328

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, 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.
  • 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 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, 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.
  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, 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, Debenture, Government and public security, Rights to or interests in investments, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

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

    For Professional, Certificates representing certain security, 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.

  • Brian Morgan Perks

    IRN BMP01036

    • CF30 Customer (6 Dec 2011 to 8 Dec 2019)
    • CF2 Non Executive Director (6 Dec 2011 to 8 Dec 2019)
  • Clifford Young Warren

    IRN CYW01004

    • SMF3 Executive Director (9 Dec 2019 to 21 Jun 2021)
    • CF1 Director (6 Dec 2011 to 8 Dec 2019)
    • CF29 Significant management (6 Dec 2011 to 7 Aug 2017)
  • Conrad Austin Amm

    IRN CAA01069

    • Director of firm who is not a certification employee or a SMF manager (since 7 Oct 2025)
    • CF30 Customer (6 Dec 2011 to 8 Dec 2019)
  • Daniel Nicolaas Breed

    IRN DNB01055

    • CF2 Non Executive Director (6 Dec 2011 to 8 Dec 2019)
  • Jabir Sardharwalla

    IRN JXS01820

    • SMF1 Chief Executive (since 22 Feb 2020)
    • CF30 Customer (20 Jan 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Apr 2012 to 11 Aug 2017)
    • CF11 Money Laundering Reporting (2 Apr 2012 to 11 Aug 2017)
  • Louis-Francois Pickard Louw

    IRN LXL92142

    • [FCA CF] Client dealing (19 Jan 2024 to 12 Jun 2024)
  • Michael Robert Tostee

    IRN MRT01111

    • CF2 Non Executive Director (6 Dec 2011 to 30 Mar 2012)
  • Nico Breedt

    IRN NXB00230

    • [FCA CF] Significant management (9 Dec 2019 to 19 Jan 2024)
  • Vanessa Elizabeth Warren

    IRN VEW01016

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (14 Aug 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (14 Aug 2017 to 8 Dec 2019)
  • Victoria Alice Creer

    IRN VAC01023

    • SMF3 Executive Director (9 Dec 2019 to 20 Jan 2025)
    • CF1 Director (6 Dec 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Dec 2011 to 7 Aug 2017)
    • CF11 Money Laundering Reporting (6 Dec 2011 to 7 Aug 2017)

Recent activity

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

No changes recorded yet.