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.

  • Mel Gerard Carvill

    IRN MGC01042

    • CF2 Non Executive Director (14 Dec 2004 to 31 Jul 2019)
  • Michael Bewick Guy

    IRN MBG01012

    • CF30 Customer (4 May 2012 to 28 Apr 2015)
  • Monica Gerarda Johanna Stein

    IRN MGS01071

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Mar 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Mar 2021)
    • CF10 Compliance Oversight (2 Jun 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jun 2017 to 8 Dec 2019)
  • Niccolo Ballarati

    IRN NXB00204

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Nicholas Harrison

    IRN NXH01442

    • CF30 Customer (1 Feb 2011 to 20 Jun 2017)
  • Nicholas James Watkins

    IRN NJW01081

    • CF2 Non Executive Director (17 Jan 2013 to 1 Sep 2014)
    • CF30 Customer (1 Nov 2007 to 15 Jan 2013)
    • CF27 Investment Management (14 Dec 2004 to 31 Oct 2007)
    • CF1 Director (14 Dec 2004 to 15 Jan 2013)
  • Philippe Setbon

    IRN PXS01974

    • CF2 Non Executive Director (19 Mar 2009 to 28 Mar 2011)
  • Robert Power Gullett

    IRN RPG01016

    • CF2 Non Executive Director (13 May 2009 to 12 Apr 2013)
  • Roberto Cengarle

    IRN RXC01377

    • CF30 Customer (1 Nov 2007 to 7 Oct 2009)
    • CF21 Investment Adviser (3 Sep 2007 to 31 Oct 2007)
  • Rolf Marcus Barrie Brien

    IRN RMB01103

    • [FCA CF] Client dealing (since 9 Dec 2019)

Recent activity

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

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