BGC Brokers L.P

• 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

• Financial Benchmarks

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

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  • · 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

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

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

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  • · 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 Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

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  • · 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, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

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  • · 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, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

  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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

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  • · 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 Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Warrant

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  • · 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 Eligible Counterparty, Professional, Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Warrant

  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.

• Gabriel Lacourtiade

  IRN GXL00297

  • [FCA CF] Client dealing (since 19 Mar 2024)
• Gabriel Peluso

  IRN GXP10690

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2021)
  • CF30 Customer (23 Jan 2019 to 8 Dec 2019)
• Gabriele Mascherin

  IRN GXM01285

  • [FCA CF] Client dealing (19 Mar 2020 to 22 Jul 2022)
• Gaetano Di Giandomenico

  IRN GXD01266

  • CF30 Customer (10 Sep 2010 to 31 Dec 2012)
• Gareth Evans

  IRN GXE00025

  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Dec 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 May 2020)
  • CF10 Compliance Oversight (10 Mar 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Mar 2017 to 8 Dec 2019)
• Gareth John Hudson

  IRN GJH01112

  • CF30 Customer (22 Feb 2016 to 1 Dec 2017)
• Gareth Richard Edwards

  IRN GXE00102

  • [FCA CF] Client dealing (since 28 Feb 2023)
• Gareth Richard Edwards

  IRN GRE01013

  • CF30 Customer (27 Nov 2017 to 16 Apr 2018)
• Gareth Stephen Carr

  IRN GSC01060

  • CF30 Customer (29 Mar 2016 to 12 Oct 2016)
• Garry David Johnson

  IRN GDJ01015

  • CF30 Customer (20 Aug 2010 to 6 Jan 2011)

No changes recorded yet.