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.

  • Robin Gregory

    IRN RXG01403

    • (280)CF30 Customer (1 Nov 2007 to 19 Sep 2008)
    • (281)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
  • Robin Neil Cowen

    IRN RNC01017

    • (759)[FCA CF] Client dealing (9 Dec 2019 to 28 Jul 2020)
    • (758)CF30 Customer (30 Apr 2019 to 8 Dec 2019)
  • Rodney Madrona Remo

    IRN RXR00230

    • (991)[FCA CF] Material risk taker (17 Jan 2022 to 31 Dec 2022)
  • Roger Lee Smith

    IRN RLS01042

    • (483)CF30 Customer (7 Dec 2010 to 6 Nov 2012)
  • Roger Neil Hulbert

    IRN RNH01056

    • (1416)[FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2023)
    • (1415)CF30 Customer (20 Jun 2016 to 8 Dec 2019)
  • Roman Nasirov

    IRN RXN01171

    • (252)CF30 Customer (1 Nov 2007 to 31 Jan 2009)
    • (253)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
  • Romuald Limousin

    IRN RXL01264

    • (858)[FCA CF] Client dealing (12 Nov 2021 to 30 Sep 2022)
  • Ronak Drone

    IRN RXD01481

    • (195)CF30 Customer (9 Mar 2009 to 31 Aug 2011)
  • Ronnie Main

    IRN RXM02529

    • (1476)CF30 Customer (24 Nov 2014 to 17 Jun 2015)
  • Rory Clohessy

    IRN RXC01593

    • (2133)CF30 Customer (20 Aug 2010 to 20 Aug 2010)
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Recent activity

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

  1. controlled function added: (535)[FCA CF] Material risk taker

  2. controlled function added: (534)[FCA CF] Material risk taker

  3. controlled function added: (533)SMF3 Executive Director

  4. controlled function added: (532)[FCA CF] Material risk taker

  5. controlled function added: (531)SMF2 Chief Finance

  6. controlled function added: (530)SMF3 Executive Director

  7. controlled function added: (529)[FCA CF] Material risk taker

  8. controlled function added: (528)SMF1 Chief Executive

  9. controlled function added: (527)SMF3 Executive Director

  10. controlled function added: (526)[FCA CF] Material risk taker

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