BGC Brokers L.P

Date authorised
1 April 2013
Companies House
LP011453
Last scraped
4 days ago

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Churchill Place
    London
    E14 5RD
    UNITED KINGDOM
    Phone
    +442078947000
    Web
    https://www.bgcg.com

  • Complaints Contact

    B G C
    5 Churchill Place
    London
    Tower Hamlets
    E14 5RD
    UNITED KINGDOM
    Phone
    +442078947771

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Financial Benchmarks

  • P2P Lending Advice

    For Professional, Eligible Counterparty

  • Investment Advice (no pensions)

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments), Future (excluding a commodity future and a rolling spot forex contract), Commodity option and option on commodity future

    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 Professional, Eligible Counterparty, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract

    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.

  • Arranges Asset Safekeeping

    For Professional, Eligible Counterparty, Debenture, Share, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract

    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.

  • Stockbroking

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract

    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.

  • Trades With You Directly

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rolling spot forex contract, Spread Bet

    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 Professional, Eligible Counterparty, Emissions Allowance, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract

    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.

  • Specialist Trading Venue

    For Professional, Eligible Counterparty, Rolling spot forex contract, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Commodity Future, Commodity option and option on commodity future, Government and public security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Certificates representing certain security, Warrant, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments)

    Show 2 limitations
    • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of: i. sovereign debt instruments for which there is not a liquid market’; or ii. bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: a. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and b. the client has consented to such trading
    • · 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.

  • Holds Your Assets

    For Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract

    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.

  • Rizwan Khalid ROSY

    IRN RXR01568

    • (1564)CF30 Customer (27 Jan 2017 to 14 Jul 2017)
  • Rob Whiting

    IRN RGW01071

    • (183)[FCA CF] Client dealing (since 6 Oct 2022)
  • Robert Alan Woolnough

    IRN RAW01087

    • (287)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1723)CF30 Customer (25 Feb 2013 to 8 Dec 2019)
  • Robert Alexander

    IRN RXA01518

    • (154)CF10a CASS Oversight function (1 Oct 2011 to 14 Jun 2013)
    • (153)CF29 Significant management (27 Jan 2010 to 14 Jun 2013)
  • Robert Anthony Kitchin

    IRN RAK01040

    • (2139)CF30 Customer (1 Nov 2007 to 31 Mar 2015)
    • (2140)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
  • Robert Bou-Simon

    IRN RXB01783

    • (1251)CF30 Customer (16 Feb 2012 to 20 May 2013)
  • Robert Brian Howard

    IRN RBH01058

    • (1773)[FCA CF] Client dealing (26 Sep 2022 to 31 Dec 2022)
  • Robert Brian Stevens

    IRN RBS01017

    • (2172)SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
    • (2174)CF10a CASS Oversight function (1 Jul 2013 to 8 Dec 2019)
    • (2173)CF28 Systems and controls (8 May 2012 to 8 Dec 2019)
    • (2175)CF1 Director (8 May 2012 to 8 Dec 2019)
  • Robert Charles Stolar

    IRN RCS01055

    • (577)CF30 Customer (1 Nov 2007 to 14 Dec 2016)
    • (578)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
  • Robert Cribb

    IRN REC01057

    • (312)[FCA CF] Client dealing (since 3 Aug 2023)
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Recent activity

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

  1. controlled function added: (545)SMF13 Chair of the Nominations Committee

  2. controlled function added: (544)SMF7 Group Entity Senior Manager

  3. controlled function added: (543)SMF11 Chair of the Audit Committee

  4. controlled function added: (542)SMF7 Group Entity Senior Manager

  5. controlled function added: (541)SMF5 Head of Internal Audit

  6. controlled function added: (540)SMF18 Other Overall Responsibility

  7. controlled function added: (539)SMF9 Chair of the Governing Body

  8. controlled function added: (538)[FCA CF] Material risk taker

  9. controlled function added: (537)SMF3 Executive Director

  10. controlled function added: (536)[FCA CF] Manager of certification employee

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