Capital Com (UK) Limited

• Principal Place of Business

  4 Orchard Place

  London

  SW1H 0BF

  UNITED KINGDOM

  Phone

  +442030978888

  Web

  https://www.capital.com

• Complaints Contact

  4 Orchard Place

  London

  SW1H 0BF

  UNITED KINGDOM

  Phone

  +442030978888

• 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 Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

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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 Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  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.

• Trades With You Directly

  For Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  Show 2 limitations 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

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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.

• Holds Your Assets

  For Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet

  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.

• Christoforos Soutzis

  IRN CXS00800

  • [FCA CF] Significant management (29 Sep 2022 to 9 Sep 2024)
• Christopher Thomas Hussey

  IRN CTH01020

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Apr 2025)
  • SMF16 Compliance Oversight (since 4 Apr 2025)
  • [FCA CF] Material risk taker (since 3 Feb 2025)
• Christopher Watts

  IRN CXW01881

  • [FCA CF] Client dealing (since 2 May 2024)
• Dana Joseph Massey

  IRN DXM00931

  • [FCA CF] Material risk taker (17 Feb 2025 to 2 Jul 2025)
  • [FCA CF] Significant management (3 May 2022 to 25 Oct 2024)
• Emma Diane Ward

  IRN EDW01009

  • [FCA CF] Client dealing (since 8 Nov 2023)
• Greg Adams

  IRN GXA00229

  • [FCA CF] Significant management (20 Nov 2022 to 2 Sep 2024)
  • [FCA CF] Material risk taker (20 Nov 2022 to 2 Sep 2024)
• Guilhem Tranchant

  IRN GXT00114

  • [FCA CF] Manager of certification employee (17 Aug 2020 to 6 Apr 2021)
• Helen Carolyn Lucking

  IRN HCL01009

  • [FCA CF] CASS oversight function (20 Sep 2023 to 27 Mar 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Oct 2022 to 2 Sep 2024)
  • [FCA CF] Material risk taker (17 Oct 2022 to 1 Sep 2024)
  • SMF16 Compliance Oversight (17 Oct 2022 to 2 Sep 2024)
• Ivan Peter Gowan

  IRN IPG01022

  • SMF1 Chief Executive (9 Dec 2019 to 11 May 2020)
  • SMF3 Executive Director (9 Dec 2019 to 11 May 2020)
  • CF1 Director (26 Oct 2018 to 8 Dec 2019)
  • CF3 Chief Executive (26 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (26 Oct 2018 to 8 Dec 2019)
• John Brassel

  IRN JFB01107

  • [FCA CF] Client dealing (since 8 Nov 2023)

No changes recorded yet.