Date authorised
1 April 2013
Companies House
03957748
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Warwick Court
    5 Paternoster Square
    London
    EC4M 7DX
    UNITED KINGDOM
    Phone
    +442076518200
  • Complaints Contact

    Warwick Court
    5 Paternoster Square
    London
    City Of London
    EC4M 7DX
    UNITED KINGDOM
    Phone
    +442076518200

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 5 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • Authorised to Operate

    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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 5 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to recognised scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 3 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 4 limitations
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
    • · Limited to authorised unit trust scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
    • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • Manages Your Portfolio

    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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

    Show 2 limitations
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Federico Santilli

    IRN FXS01217

    • [FCA CF] Client dealing (15 Mar 2021 to 31 Jan 2026)
    • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
  • Flemming Madsen

    IRN FXM01073

    • CF29 Significant management (27 Jun 2012 to 11 Jul 2014)
    • CF21 Investment Adviser (1 Dec 2001 to 3 Feb 2005)
  • Frederick A Rizzo

    IRN FAR01007

    • CF30 Customer (11 May 2011 to 5 Oct 2015)
  • Gianluca Carlo Manfred Guicciardi

    IRN GCG01033

    • [FCA CF] Client dealing (15 Mar 2021 to 20 Jan 2023)
    • CF30 Customer (3 Aug 2015 to 8 Dec 2019)
  • Gonzalo Simon Pangaro Bedoya

    IRN GXP01119

    • [FCA CF] Client dealing (15 Mar 2021 to 31 Dec 2021)
    • CF30 Customer (31 Dec 2010 to 8 Dec 2019)
  • Graeme de Moor

    IRN GXD00221

    • SMF2 Chief Finance (15 Dec 2021 to 19 Jun 2024)
  • Grainne Mary Una Healy

    IRN GXH00357

    • [FCA CF] Material risk taker (since 16 Jun 2023)
    • [FCA CF] Significant management (since 16 Jun 2023)
  • Guenevere Toste

    IRN GXT01155

    • CF21 Investment Adviser (1 Dec 2001 to 25 Mar 2004)
  • Harishankar Balkrishna

    IRN HXB01448

    • [FCA CF] Client dealing (since 15 Mar 2021)
    • CF30 Customer (22 Jul 2014 to 8 Dec 2019)
  • Helen Maria Ford

    IRN HMF01007

    • SMF18 Other Overall Responsibility (22 Jan 2020 to 1 Aug 2025)

Recent activity

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

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