BROKERTEC EUROPE LIMITED

• Principal Place of Business

  London Fruit & Wool Exchange

  1 Duval Square

  London

  E1 6PW

  UNITED KINGDOM

  Phone

  +442033793700

  Web

  https://www.cmegroup.com

• Complaints Contact

  C M E Group

  London Fruit & Wool Exchange

  1 Duval Square

  London

  Tower Hamlets

  E1 6PW

  UNITED KINGDOM

  Phone

  +442033793700

• 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, 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), Unit, 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.

• 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), Unit, 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, 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), Unit, 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.

• Trading Platform

  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), Unit, 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.

• Robert Sebastian Bowles

  IRN RSB01170

  • CF30 Customer (21 Oct 2015 to 6 Feb 2018)
• Robin Simon Graham Oliver

  IRN RSO01007

  • CF11 Money Laundering Reporting (7 Mar 2014 to 6 May 2015)
  • CF10 Compliance Oversight (7 Jun 2013 to 6 May 2015)
• Samantha Louise Bennett

  IRN SLB01193

  • CF30 Customer (5 Nov 2015 to 17 Jan 2018)
• Samantha Louise Hodgson

  IRN SXH00901

  • [FCA CF] Client dealing (since 5 Dec 2022)
• Samantha Wren

  IRN SXW01916

  • CF1 Director (17 Aug 2012 to 9 May 2013)
• Samuel Bevin

  IRN SXB02711

  • CF11 Money Laundering Reporting (29 Jan 2013 to 21 Feb 2014)
• Sara Elizabeth Carter

  IRN SEC01090

  • [FCA CF] Significant management (since 31 Mar 2026)
  • [FCA CF] Manager of certification employee (since 30 May 2023)
  • [FCA CF] Client dealing (30 May 2023 to 30 Mar 2026)
• Seamus O'Sullivan

  IRN SXO01334

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jan 2022)
  • CF30 Customer (30 Mar 2016 to 8 Dec 2019)
• Serge Robitaille Marston

  IRN SRM01089

  • SMF3 Executive Director (since 29 Dec 2021)
• Seth James Burnett Johnson

  IRN SXJ01149

  • CF1 Director (2 Oct 2013 to 11 Feb 2015)
  • CF3 Chief Executive (2 Oct 2013 to 17 Mar 2015)

• EBS Dealing Resources International Limited (no longer appointed)

  FRN 793386 · Appointed 27 Nov 2017 · Until 20 Dec 2021 · Tied agent

No changes recorded yet.