Tail Wind Advisory and Management Limited

Date authorised
1 April 2013
Companies House
04011653
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    77 Long Acre
    London
    WC2E 9LB
    UNITED KINGDOM
    Phone
    +4402074203800

  • Complaints Contact

    77 Long Acre
    London
    WC2E 9LB
    UNITED KINGDOM
    Phone
    +4402074203800

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, 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, Spread Bet, 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.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · 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

  • 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, Spread Bet, 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.
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
    • · 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".

Approved individuals

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

  • Abid Majid

    IRN AXM01518

    • CF21 Investment Adviser (17 May 2006 to 1 Jun 2006)
    • CF27 Investment Management (20 Mar 2006 to 1 Jun 2006)
    • CF22 Investment Adviser (Trainee) (21 Mar 2005 to 17 May 2006)
  • Daniel Alois Nye

    IRN DXN01084

    • CF30 Customer (1 Nov 2007 to 1 Aug 2010)
    • CF27 Investment Management (28 Apr 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Feb 2006 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (6 Feb 2006 to 31 Oct 2007)
  • David Antony Crook

    IRN DAC01123

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (26 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 May 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF26 Customer Trading (6 Apr 2005 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (19 Nov 2002 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Georgios Garafas

    IRN GXG01205

    • CF1 Director (7 Oct 2003 to 30 Apr 2005)
    • CF27 Investment Management (19 Jun 2003 to 30 Apr 2005)
    • CF23 Corporate Finance Adviser (19 Jun 2003 to 30 Apr 2005)
  • Mohamed Sarwar Mughal

    IRN MSM01031

    • CF28 Systems and controls (1 Nov 2007 to 16 Mar 2016)
    • CF10 Compliance Oversight (1 Dec 2001 to 16 Mar 2016)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 16 Mar 2016)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Olivier Debarge

    IRN OXD01003

    • CF1 Director (1 Dec 2001 to 8 Jun 2004)
    • CF27 Investment Management (1 Dec 2001 to 8 Jun 2004)
  • Peter Jay Weisman

    IRN PJW01248

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (11 Jul 2005 to 31 Oct 2007)
  • Rupert James Philip Morton

    IRN RJM01206

    • CF1 Director (1 Dec 2001 to 12 Nov 2002)
    • CF27 Investment Management (1 Dec 2001 to 12 Nov 2002)

Recent activity

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

No changes recorded yet.