Southbank Investment Research Limited

Date authorised
19 January 2016
Companies House
09539630
Last scraped
1 week ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Basement
    95 Southwark Street
    London
    SE1 0HX
    UNITED KINGDOM
    Phone
    +442039664580
    Web
    https://www.southbankresearch.com

  • Complaints Contact

    Basement
    95 Southwark Street
    London
    SE1 0HX
    UNITED KINGDOM
    Phone
    +442039664580

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, Retail (Investment), 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, 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, 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Retail (Investment), 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, 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, 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 Professional, Retail (Investment), 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, 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, 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.

  • Helen Ann Hunsperger

    IRN HAH01024

    • SMF3 Executive Director (since 14 Feb 2025)
    • SMF3 Executive Director (5 Apr 2020 to 25 Sep 2020)
    • CF1 Director (19 Jan 2016 to 3 Jan 2018)
  • James Leo Allen

    IRN JLA01055

    • CF30 Customer (26 Oct 2018 to 8 Dec 2019)
  • Jessica Louise Bakhshi

    IRN JLB01212

    • SMF16 Compliance Oversight (25 Nov 2021 to 9 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (25 Nov 2021 to 9 Mar 2022)
  • Laura Rodgers Davis

    IRN LXD00013

    • SMF3 Executive Director (11 Jan 2021 to 31 Dec 2022)
  • Merryn Somerset Webb

    IRN MXS02379

    • CF1 Director (19 Jan 2016 to 7 Feb 2017)
    • CF30 Customer (19 Jan 2016 to 14 Feb 2017)
  • Nicholas James O'Connor

    IRN NJO01045

    • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2020)
    • CF1 Director (3 Jan 2018 to 8 Dec 2019)
  • Nicholas Peter Charles Todd

    IRN NXT90151

    • SMF17 Money Laundering Reporting Officer (MLRO) (25 Nov 2020 to 24 Aug 2021)
    • SMF16 Compliance Oversight (25 Nov 2020 to 24 Aug 2021)
  • Nickolai Christopher Hubble

    IRN NXH13869

    • CF30 Customer (15 Apr 2019 to 8 Dec 2019)
  • Samantha Joanne Ricketts

    IRN SXW01918

    • SMF16 Compliance Oversight (since 8 Mar 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Mar 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 25 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Sep 2020)
    • CF10 Compliance Oversight (19 Jan 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (19 Jan 2016 to 8 Dec 2019)
  • Samuel Adam Volkering

    IRN SAV01036

    • CF30 Customer (17 Oct 2016 to 8 Dec 2019)
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Recent activity

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

No changes recorded yet.