Date authorised
1 March 2017
Companies House
OC414551
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    101 George Street
    -
    Edinburgh
    EH2 3ES
    UNITED KINGDOM
    Phone
    +441315107280
  • Complaints Contact

    101 George Street
    -
    Edinburgh
    EH2 3ES
    UNITED KINGDOM
    Phone
    +441315107280

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.
  • Arranges Investments

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Stockbroking

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Investment Setup

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • Manages Your Portfolio

    For Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Andrew Paul Bamford

    IRN APB01081

    • [FCA CF] Client dealing (9 Dec 2019 to 24 Jan 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 24 Jan 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 2 Aug 2021)
    • SMF27 Partner (9 Dec 2019 to 24 Jan 2022)
    • CF3 Chief Executive (1 Mar 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Mar 2017 to 30 Aug 2019)
    • CF4 Partner (1 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2017 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
  • Barnaby James Randle

    IRN BJR01038

    • [FCA CF] Manager of certification employee (since 29 Jun 2023)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
    • CF4 Partner (1 Mar 2017 to 8 Dec 2019)
  • Daniel Vaughan

    IRN DXV01016

    • SMF27 Partner (since 22 Jan 2022)
    • [FCA CF] Client dealing (since 9 Jul 2021)
  • Elizabeth Ann Ballantine

    IRN EAB01062

    • SMF16 Compliance Oversight (2 Aug 2021 to 19 Aug 2024)
  • Neil Stewart Mackersie

    IRN NXM17562

    • SMF16 Compliance Oversight (since 19 Aug 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (30 Aug 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Aug 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.