Date authorised
1 April 2013
Companies House
01011637
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    MidCity Place
    71 High Holborn
    London
    WC1V 6BA
    UNITED KINGDOM
    Phone
    +4402070615500
  • Complaints Contact

    MidCity Place
    71 High Holborn
    London
    WC1V 6BA
    UNITED KINGDOM
    Phone
    +4402070615500

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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Spread Bet

    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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Spread Bet

    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, 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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Trades With You Directly

    For Eligible Counterparty, Professional, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Spread Bet

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • Holds Your Assets

    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.

Approved individuals

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

  • Glen Newman

    IRN GXN01059

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2022)
    • CF30 Customer (11 May 2015 to 8 Dec 2019)
  • Graham Alan Powis

    IRN GAP01033

    • CF30 Customer (1 Nov 2007 to 21 Sep 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Guillaume Philippe Marie Osouf

    IRN GPO01015

    • CF30 Customer (23 Mar 2015 to 30 Jun 2017)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
  • Hannah Marie Kench

    IRN HMW01044

    • CF30 Customer (12 Sep 2016 to 8 Dec 2019)
  • Harry Greaves

    IRN HXG00255

    • [FCA CF] Client dealing (since 15 Dec 2025)
    • [FCA CF] Proprietary trader (since 15 Dec 2025)
  • Haruki Hayashi

    IRN HXH01290

    • CF2 Non Executive Director (3 Jun 2013 to 31 Mar 2018)
  • Herwig-Wolfram Schmidt

    IRN HXS01167

    • [FCA CF] Manager of certification employee (9 Dec 2020 to 30 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2020 to 30 Sep 2021)
    • [FCA CF] Material risk taker (9 Dec 2020 to 30 Sep 2021)
    • [FCA CF] Client dealing (9 Dec 2020 to 30 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Hideki Nakagawa

    IRN HXN01068

    • CF3 Chief Executive (8 Apr 2009 to 10 Jan 2013)
    • CF1 Director (8 Apr 2009 to 10 Jan 2013)
    • CF2 Non Executive Director (26 Apr 2004 to 8 Apr 2009)
  • Hideto Nakahara

    IRN HXN01053

    • CF2 Non Executive Director (21 May 2002 to 1 Apr 2006)
  • Hiroshi Nomura

    IRN HXN01050

    • CF2 Non Executive Director (13 Feb 2002 to 1 Apr 2004)

Recent activity

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

No changes recorded yet.