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

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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, 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

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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), Unit, 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.

• 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

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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.

• 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.

• Shaun Miell

  IRN SMM01068

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (10 Jan 2002 to 31 Oct 2007)
• Shereen Lewejohann

  IRN SXL00714

  • [FCA CF] Client dealing (27 Nov 2023 to 30 Mar 2026)
  • [FCA CF] Manager of certification employee (27 Nov 2023 to 30 Mar 2026)
• Simon Nicholas Ian Harrison

  IRN SNH01048

  • CF3 Chief Executive (5 Jan 2010 to 25 Aug 2010)
  • CF1 Director (25 Jan 2008 to 25 Aug 2010)
• Sophie Rose Paterson

  IRN SRP01129

  • CF30 Customer (23 Oct 2015 to 17 May 2017)
• Spencer Giles Williams

  IRN SGW01076

  • CF30 Customer (23 Jan 2008 to 4 Jan 2010)
• Stephen Best

  IRN SXB00603

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
• Stephen Gerard Caplen

  IRN SGC01071

  • CF1 Director (4 Sep 2013 to 11 Feb 2015)
• Stephen MacLennan

  IRN SXM00641

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 6 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2023)
• Steven Arthur Woolley

  IRN SAW01145

  • CF10 Compliance Oversight (25 Sep 2007 to 23 Feb 2011)
  • CF11 Money Laundering Reporting (25 Sep 2007 to 30 Jan 2013)
• Steven Thomas Reay

  IRN SXR00570

  • [FCA CF] Client dealing (since 10 Aug 2022)

• EBS Dealing Resources International Limited (no longer appointed)

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

No changes recorded yet.