Date authorised
1 April 2013
Companies House
05193344
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Dominican House
    4 Priory Court
    Pilgrim Street
    London
    EC4V 6DE
    UNITED KINGDOM
    Phone
    +4402070038700
  • Complaints Contact

    Dominican House
    4 Priory Court
    Pilgrim Street
    London
    EC4V 6DE
    UNITED KINGDOM
    Phone
    +4402070038700

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), 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

    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), 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), 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), 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), 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 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), 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.

  • Iain James Mather

    IRN IJM01088

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Aug 2024)
    • SMF16 Compliance Oversight (since 12 Aug 2024)
  • James Ellison

    IRN JXE00121

    • [FCA CF] Manager of certification employee (since 3 Jan 2023)
    • [FCA CF] Significant management (since 3 Jan 2023)
  • John Barritt

    IRN JXB02375

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 May 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 13 May 2022)
    • CF10 Compliance Oversight (21 Jan 2009 to 3 Dec 2012)
    • CF11 Money Laundering Reporting (21 Jan 2009 to 3 Dec 2012)
  • Kishore Chand Banger

    IRN KCB01013

    • CF30 Customer (30 Dec 2008 to 29 Apr 2011)
  • Leslie William Priestley

    IRN LWP00002

    • CF2 Non Executive Director (26 May 2005 to 9 Sep 2013)
  • Lingzhi Yu

    IRN LXY01016

    • Director of firm who is not a certification employee or a SMF manager (since 24 Aug 2020)
  • MARIANNA GEORGAKOPOULOU

    IRN MXG02068

    • CF30 Customer (4 Sep 2012 to 26 Feb 2013)
  • Marco Della Giacoma

    IRN MXD02385

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 May 2017 to 8 Dec 2019)
  • Martin Smith

    IRN MXS01316

    • CF11 Money Laundering Reporting (30 Nov 2012 to 6 Jun 2017)
    • CF10 Compliance Oversight (30 Nov 2012 to 6 Jun 2017)
  • Massimo Figna

    IRN MXF01162

    • [FCA CF] Client dealing (since 11 Apr 2025)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (15 Mar 2024 to 14 Aug 2024)
    • SMF16 Compliance Oversight (15 Mar 2024 to 14 Aug 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Apr 2006 to 21 Jan 2009)
    • CF11 Money Laundering Reporting (26 Apr 2006 to 21 Jan 2009)
    • CF27 Investment Management (14 Dec 2004 to 31 Oct 2007)
    • CF1 Director (14 Dec 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Dec 2004 to 31 Oct 2007)
    • CF3 Chief Executive (14 Dec 2004 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.