Date authorised
2 March 2020
Companies House
11679992
Last scraped
6 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    23 Berkeley Square
    London
    W1J 6HE
    UNITED KINGDOM
    Phone
    +4408001601608
  • Complaints Contact

    23 Berkeley Square
    London
    W1J 6HE
    UNITED KINGDOM
    Phone
    +4408001601608

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, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

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

    For Professional, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

    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, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

    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, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

    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, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

    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 David Morgan

    IRN ADM01154

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 2 Mar 2020)
    • SMF3 Executive Director (since 2 Mar 2020)
    • [FCA CF] Client dealing (since 2 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
    • [FCA CF] Material risk taker (since 2 Mar 2020)
    • [FCA CF] Significant management (since 2 Mar 2020)
  • Fraser Ian Moyes

    IRN FIM01004

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
    • [FCA CF] Client dealing (since 1 Oct 2024)
  • Gary Raymond Charles Waite

    IRN GRW01079

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • SMF3 Executive Director (since 2 Mar 2020)
    • [FCA CF] Client dealing (since 2 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
    • [FCA CF] Material risk taker (since 2 Mar 2020)
    • [FCA CF] Significant management (since 2 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Mar 2020)
  • Josh Grootenhuis

    IRN JAG01323

    • [FCA CF] Material risk taker (23 Sep 2021 to 3 Dec 2021)
    • [FCA CF] Client dealing (23 Sep 2021 to 3 Dec 2021)
    • [FCA CF] Functions requiring qualifications (23 Sep 2021 to 3 Dec 2021)
    • [FCA CF] Significant management (23 Sep 2021 to 3 Dec 2021)
  • Yushan Li

    IRN YXL00044

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 23 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2021)
    • [FCA CF] Material risk taker (since 23 Sep 2021)

Recent activity

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

No changes recorded yet.