Basis Capital Markets UK Limited

• Principal Place of Business

  70 Pall Mall

  3rd Floor

  London

  SW1Y 5JG

  UNITED KINGDOM

  Phone

  +4402037955095

  Web

  https://www.basiscap.com

• Complaints Contact

  70 Pall Mall

  3rd Floor

  London

  SW1Y 5JG

  UNITED KINGDOM

  Phone

  +4402037955095

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share

  Show 1 limitation Hide limitations

  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share

  Show 1 limitation Hide limitations

  • · 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share

  Show 2 limitations Hide limitations

  • · 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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), Rolling spot forex contract, Share

  Show 1 limitation Hide limitations

  • · 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.

• Barry Crawford

  IRN BXC00385

  • [FCA CF] Client dealing (since 11 Feb 2025)
  • SMF3 Executive Director (since 21 Nov 2024)
  • SMF1 Chief Executive (since 21 Nov 2024)
• Daniel Craig Marcus

  IRN DCM01171

  • SMF9 Chair of the Governing Body (29 Jan 2024 to 31 Dec 2025)
• Dean Bevens

  IRN DXB01460

  • SMF3 Executive Director (23 Oct 2023 to 26 Sep 2024)
  • [FCA CF] Client dealing (15 Aug 2023 to 26 Sep 2024)
• James Sidney Holloway

  IRN JXH00431

  • [FCA CF] Client dealing (1 Sep 2020 to 7 Jun 2021)
• Michael Gerard Latham

  IRN MXL00768

  • SMF3 Executive Director (since 27 Mar 2026)
  • SMF16 Compliance Oversight (since 6 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Aug 2025)
• Philip Millar

  IRN PXM02712

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Aug 2023)
  • SMF3 Executive Director (9 Dec 2019 to 9 Aug 2023)
  • CF30 Customer (9 Jan 2019 to 8 Dec 2019)
  • CF1 Director (9 Jan 2019 to 8 Dec 2019)
• Ulf Anders Gabriel Henrikson

  IRN UAH01001

  • SMF3 Executive Director (since 24 Apr 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Jul 2025)
  • SMF3 Executive Director (9 Dec 2019 to 11 Jul 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Jul 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 11 Jul 2025)
  • CF30 Customer (9 Jan 2019 to 8 Dec 2019)
  • CF1 Director (9 Jan 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Jan 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Jan 2019 to 8 Dec 2019)
• William George Edward Vogel

  IRN WGV01005

  • [FCA CF] Client dealing (9 Aug 2023 to 27 Oct 2025)

No changes recorded yet.