Dolfin Financial (UK) Ltd

Reference number: 552894

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Authorised, but in an insolvency process

This firm is under the control of insolvency practitioners and may have stopped taking on new business. If you are or were a customer, deal with the appointed office holders rather than the firm.

What the FCA says

ATTENTION - Firm in an insolvency process

This firm is in an insolvency process. It is under the control of the appointed insolvency office holder(s) and may have stopped taking on new business. It has to continue to meet our standards in line with its regulatory status, including when dealing with its customers. If you are/were a customer check how this affects you with the firm or the appointed insolvency office holder(s).

Identity

Check their details

Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.

  • No website on the FCA register

  • Verified phone number

    020 8934 5387

  • Verified address

    C/O S&W Restructuring, 45 Gresham Street, London, EC2V 7BG, United Kingdom

Also trades as
  • Dolfin

Company details

From the company's Companies House record.

Concerns on the company record

  • Companies House records this company in administration, but it is still authorised on the FCA register.
  • Accounts are overdue at Companies House.
  • Confirmation statement is overdue at Companies House.
  • This company has insolvency history on record.
Company number
07431519
Company status
Administration
Company type
Private limited company
Incorporated
5 November 2010 (15 years old)
Registered office
C/O Rrs Sw Partners Llp, 45 Gresham Street, London, EC2V 7BG
Nature of business
  • Financial intermediation not elsewhere classified (SIC 64999)
  • Financial management (SIC 70221)
  • Other business support service activities not elsewhere classified (SIC 82990)

Check on the FCA register → Report a scam →

Activities and protection

What the record covers, and how you are protected

  • In an insolvency process
    Money the firm held is returned through the appointed office holders, which takes time and can fall short. The FSCS covers eligible claims up to its limits, and the Ombudsman can still look at a complaint.
Show FCA detail (20 permissions)
  • 1. Services enabling cash to be placed on a payment account as well as all the operations required for operating a payment account.
  • 3. Executing payment transactions (no credit line)
  • 5. Issuing and/or acquiring of payment instruments.
  • 6. Money remittance.
  • Advising on a home reversion plan
  • Advising on investments (except on Pension Transfers and Pension Opt Outs)
  • Advising on P2P agreements
  • Advising on regulated mortgage contracts
  • Arranging (bringing about) a home reversion plan
  • Arranging (bringing about) deals in investments
  • Arranging (bringing about) regulated mortgage contracts
  • Arranging safeguarding and administration of assets
  • Dealing in investments as agent
  • Dealing in investments as principal
  • Making arrangements with a view to a home reversion plan
  • Making arrangements with a view to regulated mortgage contracts
  • Making arrangements with a view to transactions in investments
  • Managing investments
  • Providing basic advice on stakeholder products
  • Safeguarding and administration of assets (without arranging)

Limits on the record

  • Retention and notification requirements
    9) Dolfin must secure all books and records and preserve all information and systems in relation to regulated activities carried on by it, and must retain these in a form and at a location within the UK, to be notified to the Authority in writing by 19 March 2021, such that they (or, so as not to hinder Dolfin’s performance of its business activities, true copies of them) can be provided to the Authority, or to a person named by the Authority, promptly on its request.
  • Restriction on activities
    1. Dolfin (whether directly or through its agents) must not, without the prior written consent of the Authority: a) on-board any new Tier 1 Investor Visa clients except for discretionary investment management services where the portfolio does not contain any Conflicted Securities (as defined below); b) accept any new client money or new custody assets from existing Tier 1 Investor Visa clients to purchase any Conflicted Securities (as defined below); c) structure, promote, issue or distribute any bonds or loan notes where there are identifiable or potential conflicts of interest between Dolfin or its Directors, and the company seeking to raise finance (“Conflicted Securities”). 2. Paragraph 1b above does not apply to the acceptance of new monies or custody assets from existing clients and/or third parties by Dolfin as a result of, or in relation to the following: a) payment of its fees in relation to custody and platform services; b) receipt of dividends or coupons; c) rights issues; or d) corporate actions including maturing bonds. 3. Dolfin must secure all books and records and preserve information and systems relating to regulated activities carried on by it, and must retain these in a form and at a location, to be notified to the Authority in writing no later than 7 days after the coming into force of these Requirements, such that they (or, so as not to hinder Dolfin’s performance of its business activities, true copies of them) can be provided to the Authority, or to a person named by the Authority, promptly on its request. 4. Dolfin will not undertake acquisitions and materially grow its business in excess of an agreed limit, without the prior written consent of the FCA.

Track record

FCA actions and complaints

No FCA disciplinary action, and no complaints recorded with the Ombudsman.

Previously registered as

The FCA register holds 2 earlier registered names for this firm. A registered name changes when a firm rebrands, and a partnership's changes whenever its partners do.

  • RMS FinGroup Ltd
  • Structured Investment Group Ltd

Names it no longer trades under

This firm has retired 2 trading names. If you were contacted under one of these, the name did belong to this firm, but check the current details above before going ahead.

Show the retired names
  • RMS Capital Markets
  • RMS Wealth

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Common questions

Frequently asked questions

Is Dolfin Financial (UK) Ltd FCA authorised?
Yes, Dolfin Financial (UK) Ltd (FRN 552894) is authorised by the FCA to carry out regulated activities. It is also in an insolvency process, under the control of insolvency practitioners, so deal with the appointed office holders rather than the firm.
Is my money safe with Dolfin Financial (UK)?
Dolfin Financial (UK) is under the control of insolvency practitioners, so money it held is returned through the appointed office holders rather than by the firm. That takes time and can fall short. Where money is missing, the FSCS covers eligible claims up to its limits, and the Financial Ombudsman Service can still consider a complaint.
Is Dolfin Financial (UK) a scam or clone?
Dolfin Financial (UK) is a genuine FCA-listed firm. However, scammers sometimes clone authorised firms. Always check that the contact details you were given match those on the FCA register before sending money or sharing information.
What is Dolfin Financial (UK)'s Firm Reference Number (FRN)?
Dolfin Financial (UK)'s FRN is 552894. You can verify it on the FCA register.