Date authorised
2 July 2018
Companies House
09919319
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3-5
    Rathbone Place
    London
    W1T 1HJ
    UNITED KINGDOM
    Phone
    +442037959500
  • Complaints Contact

    3rd Floor
    3-5 Rathbone Place
    London
    W1T 1HJ
    UNITED KINGDOM
    Phone
    +442037959500

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, Debenture, 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, Debenture, 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, Debenture, 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.

  • Charles David Batten

    IRN CDB01182

    • CF1 Director (2 Jul 2018 to 14 Mar 2019)
  • Daniel Mark Dutton

    IRN DMD01098

    • SMF3 Executive Director (9 Dec 2019 to 23 Nov 2020)
    • CF1 Director (2 Jul 2018 to 8 Dec 2019)
    • CF30 Customer (2 Jul 2018 to 8 Dec 2019)
  • Karan Mithu Daswani

    IRN KMD01071

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (2 Jul 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jul 2018 to 8 Dec 2019)
    • CF30 Customer (2 Jul 2018 to 8 Dec 2019)
  • Ross William Hitchen Taylor

    IRN RWT01073

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (2 Jul 2018 to 8 Dec 2019)
    • CF1 Director (2 Jul 2018 to 8 Dec 2019)
    • CF3 Chief Executive (2 Jul 2018 to 8 Dec 2019)
  • WILLIAM RORY SCHOFIELD HUNTING

    IRN WXH90945

    • [FCA CF] Client dealing (since 31 Mar 2021)
    • SMF3 Executive Director (since 21 Oct 2020)

Recent activity

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

No changes recorded yet.