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.

• David Wynne Fowler

  IRN DWF01026

  • [FCA CF] Client dealing (21 Sep 2020 to 6 Nov 2022)
• Dennis Robert Avery

  IRN DRA01041

  • CF30 Customer (1 Nov 2007 to 17 Jan 2008)
  • CF26 Customer Trading (2 Jan 2003 to 31 Oct 2007)
• Dermot Doherty

  IRN DXD01133

  • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
• Deron Siddons

  IRN DXS00414

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2023)
• Ding Yulong

  IRN DXY00033

  • [FCA CF] Client dealing (18 Jul 2022 to 31 Mar 2026)
• Dipesh Borkhataria

  IRN DXB00460

  • [FCA CF] Client dealing (1 Mar 2021 to 6 Mar 2023)
• Duncan Alexander Stacey

  IRN DAS01142

  • [FCA CF] Client dealing (9 Dec 2019 to 11 Oct 2022)
  • CF30 Customer (2 Sep 2013 to 8 Dec 2019)
• ERNEST UHUMWEKPEMA IGBINOSUN

  IRN EUI01000

  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jun 2023)
  • CF11 Money Laundering Reporting (10 Jan 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Oct 2015 to 8 Dec 2019)
• Edmund Francis Gordon Clark

  IRN EFG01008

  • CF28 Systems and controls (25 Jan 2008 to 2 Dec 2009)
  • CF3 Chief Executive (25 Jan 2008 to 2 Dec 2009)
  • CF30 Customer (25 Jan 2008 to 2 Dec 2009)
  • CF1 Director (25 Jan 2008 to 2 Dec 2009)
  • CF29 Significant management (25 Jan 2008 to 2 Dec 2009)
• Edward Tyler Bowen

  IRN ETB01005

  • CF29 Significant management (1 Nov 2007 to 17 Jan 2008)
  • CF20 Significant Mgt (Settlements) (13 Jul 2006 to 31 Oct 2007)

• EBS Dealing Resources International Limited (no longer appointed)

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

No changes recorded yet.