Date authorised
28 September 2018
Companies House
10540836
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3 Waterhouse Square
    138-142 Holborn
    London
    EC1N 2SW
    UNITED KINGDOM
    Phone
    +4407740464526
  • Complaints Contact

    3 Waterhouse Square
    138-142 Holborn
    London
    EC1N 2SW
    UNITED KINGDOM
    Phone
    +4407740464526

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), 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

    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), 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

    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 Professional, Retail (Investment), 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

    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 Professional, Retail (Investment), 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

    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), 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

    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.
  • Manages Your Portfolio

    For Professional, Retail (Investment), 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

    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.

  • Adam John Tyrrell

    IRN AJT01200

    • CF30 Customer (28 Sep 2018 to 8 Dec 2019)
  • Christopher John Paul Spencer

    IRN CJS01380

    • CF30 Customer (28 Sep 2018 to 10 Jan 2019)
  • Mohammed Asif Idris

    IRN MXI32506

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Jun 2020)
    • SMF16 Compliance Oversight (since 24 Jun 2020)
  • Ross Anthony Revell

    IRN RAR01094

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2020)
    • CF11 Money Laundering Reporting (28 Sep 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 Sep 2018 to 8 Dec 2019)
  • Thomas Nash

    IRN TXN01321

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (28 Sep 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.