Date authorised
1 April 2013
Companies House
01093481
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Winston House
    349 Regents Park Road
    London
    N3 1DH
    UNITED KINGDOM
    Phone
    +4402083512400
  • Complaints Contact

    Winston House
    349 Regents Park Road
    London
    N3 1DH
    UNITED KINGDOM
    Phone
    +4402083512400

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 Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Authorised to Operate

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

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

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

  • David Robert Motts

    IRN DRM01143

    • Responsible for Insurance Distribution (12 May 2023 to 10 Jan 2024)
    • SMF1 Chief Executive (12 May 2023 to 10 Jan 2024)
    • SMF16 Compliance Oversight (12 May 2023 to 10 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (12 May 2023 to 10 Jan 2024)
  • Dean Simon Benjamin Cohen

    IRN DXC00658

    • Responsible for Insurance Distribution (since 22 Jan 2024)
    • SMF3 Executive Director (since 24 Aug 2023)
  • Graham Keith Jacob

    IRN GKJ01011

    • SMF3 Executive Director (9 Dec 2019 to 26 Jan 2023)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Justin Grundy

    IRN JXG01588

    • SMF16 Compliance Oversight (30 Jun 2020 to 2 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jun 2020 to 2 Feb 2023)
    • Responsible for Insurance Distribution (23 Jan 2019 to 2 Feb 2023)
    • CF29 Significant management (24 Aug 2015 to 8 Dec 2019)
  • Lee David Middleton

    IRN LDM01019

    • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2023)
    • CF1 Director (1 Feb 2019 to 8 Dec 2019)
  • Michael Robert Tyler

    IRN MRT01069

    • Responsible for Insurance Distribution (1 Oct 2018 to 22 Jan 2019)
    • CF28 Systems and controls (1 Nov 2007 to 22 Jan 2019)
    • CF29 Significant management (1 Nov 2007 to 22 Jan 2019)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF1 Director (14 Jan 2005 to 22 Jan 2019)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • Peter Eaton Sawford

    IRN PES01073

    • SMF9 Chair of the Governing Body (11 May 2020 to 26 Jan 2023)
    • SMF3 Executive Director (9 Dec 2019 to 26 Jan 2023)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
  • Samuel Millet

    IRN SXM04407

    • SMF3 Executive Director (21 May 2024 to 31 May 2025)
    • SMF16 Compliance Oversight (21 May 2024 to 31 May 2025)

Recent activity

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

No changes recorded yet.