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.

  • Richard Lewis

    IRN RXL01512

    • (80)[FCA CF] Manager of certification employee (since 9 Dec 2019)
    • (79)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1660)CF30 Customer (17 Nov 2011 to 8 Dec 2019)
  • Richard Philip Anthony

    IRN RPA01037

    • (197)CF30 Customer (16 Feb 2010 to 28 May 2012)
  • Richard Ringrose

    IRN RXR01291

    • (1354)[FCA CF] Client dealing (9 Dec 2019 to 9 May 2021)
  • Richard Shaun Dix

    IRN RSD01039

    • (886)[FCA CF] Material risk taker (16 Jul 2020 to 18 Nov 2021)
    • (885)[FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • (887)[FCA CF] Manager of certification employee (9 Dec 2019 to 25 Aug 2021)
    • (884)CF30 Customer (23 Jul 2008 to 8 Dec 2019)
  • Richard Sidney Smith

    IRN RXS00378

    • (1663)[FCA CF] Material risk taker (16 Jul 2020 to 18 Nov 2021)
    • (1662)[FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • Richard Stephen Choynowski

    IRN RSC01044

    • (700)CF30 Customer (28 Nov 2018 to 8 Dec 2019)
  • Richard Stuart Yeabsley

    IRN RSY01001

    • (255)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1442)[FCA CF] Material risk taker (16 Jul 2020 to 8 Mar 2023)
    • (1443)[FCA CF] Manager of certification employee (9 Dec 2019 to 8 Mar 2023)
  • Richard Wayne Oliver Scrase

    IRN RWS01105

    • (283)CF30 Customer (2 May 2012 to 12 Mar 2018)
  • Ricky Sharpe

    IRN RXS01478

    • (449)CF30 Customer (1 Nov 2007 to 31 Mar 2009)
    • (450)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
  • Rishi Paul

    IRN RXP01499

    • (169)[FCA CF] Manager of certification employee (since 9 Feb 2022)
    • (168)[FCA CF] Client dealing (since 9 Dec 2019)
    • (1313)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (1314)CF26 Customer Trading (2 Oct 2007 to 31 Oct 2007)
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Recent activity

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

  1. controlled function added: (525)SMF16 Compliance Oversight

  2. controlled function added: (524)[FCA CF] Client dealing

  3. controlled function added: (523)[FCA CF] Client dealing

  4. controlled function added: (522)[FCA CF] Client dealing

  5. controlled function added: (521)[FCA CF] Client dealing

  6. controlled function added: (520)[FCA CF] Client dealing

  7. controlled function added: (519)[FCA CF] Client dealing

  8. controlled function added: (518)[FCA CF] Client dealing

  9. controlled function added: (517)[FCA CF] Client dealing

  10. controlled function added: (516)[FCA CF] Client dealing

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