STEEN ASSOCIATES LTD

Date authorised
1 April 2013
Companies House
05604360
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Old Sessions House
    22 Clerkenwell Green
    London
    Islington
    EC1R 0NA
    UNITED KINGDOM
    Phone
    +4402074055040
    Web
    https://www.steenassociates.com

  • Complaints Contact

    The Old Sessions House
    22 Clerkenwell Green
    London
    Islington
    EC1R 0NA
    UNITED KINGDOM
    Phone
    +4402074055040

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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

  • Ajay Patel

    IRN AXP02179

    • CF30 Customer (1 Apr 2013 to 31 Oct 2013)
  • David Charles Roberts

    IRN DCR01032

    • CF30 Customer (28 Apr 2009 to 28 Aug 2009)
  • Jason William Padfield Steen

    IRN JWS01091

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (25 Jun 2008 to 8 Dec 2019)
    • CF30 Customer (25 Jun 2008 to 8 Dec 2019)
    • CF3 Chief Executive (25 Jun 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Jun 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Jun 2008 to 31 Mar 2009)
    • CF1 Director (25 Jun 2008 to 8 Dec 2019)
  • Jeremy Zeller

    IRN JXZ01156

    • CF30 Customer (8 Dec 2016 to 8 Dec 2019)
  • Jorg Freimund

    IRN JXF01163

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Dec 2011 to 8 Dec 2019)
    • CF30 Customer (7 Sep 2011 to 8 Dec 2019)
  • Mark Christopher Melville

    IRN MCM01119

    • CF30 Customer (18 Jun 2015 to 8 Dec 2019)
  • Massimo Cordella

    IRN MXC02089

    • CF30 Customer (25 Jun 2008 to 8 Dec 2019)
  • Philippe Rollin

    IRN PXR01617

    • CF30 Customer (1 Mar 2013 to 31 Oct 2013)
  • Robert Isaac Collier

    IRN RIC01050

    • CF30 Customer (7 Nov 2008 to 11 Jun 2012)
  • Sebastian Friedrich Heinrich

    IRN SFH01043

    • CF30 Customer (1 Nov 2012 to 31 Jan 2014)

Recent activity

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

No changes recorded yet.