Date authorised
16 June 2014
Companies House
OC386690
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor
    31 St. James's Square
    London
    SW1Y 4JR
    UNITED KINGDOM
    Phone
    +442070723100
  • Complaints Contact

    4th Floor
    31 St. James's Square
    London
    SW1Y 4JR
    UNITED KINGDOM
    Phone
    +442070723100

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, 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, 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

    For Eligible Counterparty, Professional

    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 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, 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.
  • Arranges Asset Safekeeping

    For Eligible Counterparty, Professional, 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, 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, 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, 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, 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, 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.
  • Private Investment Funds

  • Manages Your Portfolio

    For Professional, 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, 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.

  • Barry John Fitzpatrick

    IRN BXF00143

    • [FCA CF] Client dealing (10 Jul 2023 to 1 Dec 2025)
  • Borut Miklavcic

    IRN BXM01283

    • [FCA CF] Material risk taker (12 Jan 2021 to 21 Dec 2022)
    • [FCA CF] Client dealing (12 Jan 2021 to 7 Nov 2023)
  • Brian Wayne Mark

    IRN BWM01024

    • CF30 Customer (16 Jun 2014 to 23 Feb 2015)
  • Carlos Mercado

    IRN CXM01562

    • [FCA CF] Manager of certification employee (26 Nov 2021 to 21 Dec 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 26 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Nov 2021)
    • CF30 Customer (11 Jul 2018 to 8 Dec 2019)
  • Charles Mac Neil Curry III

    IRN CXC00747

    • [FCA CF] Client dealing (23 Nov 2023 to 1 Apr 2026)
  • Chirag Dave

    IRN CAD01133

    • [FCA CF] Client dealing (since 23 Feb 2024)
  • Christopher Ryan Becker

    IRN CRB01168

    • CF30 Customer (16 Jun 2014 to 1 Mar 2016)
  • Clare Louise Secker

    IRN CLS01139

    • [FCA CF] Manager of certification employee (since 24 Jun 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (16 Nov 2016 to 8 Dec 2019)
  • Congrong Fu

    IRN CXF01431

    • [FCA CF] Client dealing (since 20 Jan 2020)
    • [FCA CF] Material risk taker (20 Jan 2020 to 28 Nov 2022)
  • Cristina Fedorca

    IRN CXF01525

    • [FCA CF] Client dealing (9 Dec 2019 to 19 Sep 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 19 Sep 2022)
    • CF30 Customer (18 Jan 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.