Date authorised
1 April 2013
Companies House
07102717
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The London Stock Exchange
    10 Paternoster Square
    London
    EC4M 7LS
    UNITED KINGDOM
    Phone
    +442077971470
  • Complaints Contact

    The London Stock Exchange
    10 Paternoster Square
    London
    EC4M 7LS
    UNITED KINGDOM
    Phone
    +442077971470

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 Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

    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, Debenture, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

    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.
  • Trading Platform

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit

    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.

  • Adam Wood

    IRN AXW00691

    • SMF3 Executive Director (1 Jan 2023 to 27 Feb 2026)
    • SMF1 Chief Executive (1 Jan 2023 to 27 Feb 2026)
  • Adrian John Winston Farnham

    IRN AJF01206

    • CF11 Money Laundering Reporting (16 Nov 2011 to 22 Nov 2012)
    • CF3 Chief Executive (21 Apr 2011 to 22 Nov 2012)
    • CF1 Director (31 Jan 2011 to 22 Nov 2012)
    • CF10 Compliance Oversight (31 Jan 2011 to 18 May 2011)
  • Alan Colin Drake Yarrow

    IRN ACY01003

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 16 Dec 2021)
    • CF2 Non Executive Director (31 Jan 2011 to 8 Dec 2019)
  • Alexander Stafford Justham

    IRN ASJ01022

    • CF2 Non Executive Director (29 Jan 2013 to 29 Sep 2015)
  • Alison Fletcher

    IRN AXF01580

    • CF28 Systems and controls (31 Jan 2011 to 1 Mar 2012)
  • Alison Scott-Bishop

    IRN AXS03472

    • CF10 Compliance Oversight (6 Nov 2013 to 26 Jan 2018)
    • CF11 Money Laundering Reporting (6 Nov 2013 to 6 Jul 2018)
  • Anand Ramchandra Varma

    IRN AXV00071

    • [FCA CF] Material risk taker (1 Dec 2020 to 6 Dec 2024)
  • Andrea Bradley

    IRN AXB04303

    • [FCA CF] Significant management (26 Mar 2024 to 22 Jul 2025)
  • Antoine Joseph Shagoury

    IRN AJS01629

    • CF2 Non Executive Director (31 Jan 2011 to 29 Jan 2013)
  • Ashok Krishnan

    IRN AXK01214

    • CF2 Non Executive Director (31 Jan 2011 to 26 Mar 2014)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.