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.

  • Haojiang Zhao

    IRN HXZ75019

    • [FCA CF] Client dealing (since 20 Aug 2025)
  • Harvinder Gill

    IRN HXG40202

    • [FCA CF] Manager of certification employee (since 21 Jan 2026)
    • [FCA CF] Client dealing (since 31 Jan 2024)
  • Hugh Neil Lee

    IRN HXL00104

    • [FCA CF] Manager of certification employee (2 Jul 2021 to 7 Oct 2022)
  • Ivan Dimitrov Ivanov

    IRN IDI01001

    • CF30 Customer (16 Jun 2014 to 23 Feb 2015)
  • Jacobus Philippus Stephen Bezuidenhout

    IRN JPB01136

    • CF30 Customer (11 Jan 2016 to 31 Oct 2016)
  • Jacqueline Jordan

    IRN JXJ01075

    • CF10 Compliance Oversight (16 Jun 2014 to 15 Apr 2015)
    • CF11 Money Laundering Reporting (16 Jun 2014 to 15 Apr 2015)
    • CF4 Partner (16 Jun 2014 to 15 Apr 2015)
  • James Christopher Elkington

    IRN JCE01058

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 28 Nov 2022)
    • CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • James Julian Munro

    IRN JJM01331

    • SMF27 Partner (since 1 Mar 2026)
    • [FCA CF] Material risk taker (since 5 Aug 2025)
  • James Philip Wrisdale

    IRN JPW01209

    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2022)
    • CF30 Customer (9 Sep 2019 to 8 Dec 2019)
  • James Richard Williams

    IRN JRW01274

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 28 Nov 2022)
    • CF30 Customer (12 Nov 2015 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.