Date authorised
1 April 2013
Companies House
02405923
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    42 New Broad Street
    London
    EC2M 1JD
    UNITED KINGDOM
    Phone
    +4402030055000
  • Complaints Contact

    42 New Broad Street
    London
    EC2M 1JD
    UNITED KINGDOM
    Phone
    +4402030055000

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, Retail (Investment), 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, Retail (Investment), 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, Retail (Investment), 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.

  • Stuart James Davidson

    IRN SJD01303

    • CF30 Customer (13 Feb 2012 to 31 Dec 2012)
  • Thomas Edward Jackson

    IRN TXJ00146

    • [FCA CF] Client dealing (7 Feb 2022 to 29 Nov 2024)
  • Thomas Rupert Greville-Williams

    IRN TRG01038

    • CF30 Customer (22 Sep 2016 to 28 Feb 2018)
  • Vicki Barbara Coulson

    IRN VBC01002

    • CF30 Customer (1 Sep 2011 to 17 Jul 2013)
  • Vijay Tandon

    IRN VXT01053

    • CF30 Customer (26 Oct 2010 to 19 Apr 2013)
  • Wei Chen

    IRN WXC00019

    • CF1 Director (AR) (1 Jun 2022 to 25 Oct 2022)
  • William John Voaden

    IRN WJV01009

    • CF30 Customer (1 Nov 2007 to 10 Mar 2011)
    • CF22 Investment Adviser (Trainee) (22 Dec 2005 to 31 Oct 2007)
    • CF10 Compliance Oversight (5 Nov 2003 to 12 May 2004)
    • CF1 Director (30 Sep 2002 to 12 Aug 2010)
    • CF8 Apportionment and Oversight (30 Sep 2002 to 31 Oct 2007)
    • CF3 Chief Executive (30 Sep 2002 to 12 Aug 2010)
  • Wing Chung Wong

    IRN WXW00116

    • [FCA CF] Client dealing (since 6 Jan 2025)
  • Yi Voon Chan

    IRN YXC00067

    • [FCA CF] Client dealing (9 Jan 2023 to 31 May 2023)
  • Zi Xuan Liu

    IRN ZXL01051

    • CF30 Customer (1 Apr 2018 to 6 Jul 2018)

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.