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

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  • · 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

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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 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.
  • · 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.

• Peter Zachariades

  IRN PXZ01081

  • SMF3 Executive Director (26 Aug 2020 to 28 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Apr 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Apr 2021)
  • CF11 Money Laundering Reporting (31 Oct 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Oct 2018 to 8 Dec 2019)
• Philip Ian Hirst

  IRN PXH00481

  • [FCA CF] CASS oversight function (25 Oct 2021 to 14 Jul 2023)
• Philip John Anderson

  IRN PXA01092

  • Director of firm who is not a certification employee or a SMF manager (since 3 Apr 2023)
• Phillip Harbage

  IRN PDH01140

  • [FCA CF] Client dealing (since 12 Mar 2026)
• Rahul Singh Verma

  IRN RSV01010

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Feb 2021 to 22 Mar 2021)
  • SMF16 Compliance Oversight (10 Feb 2021 to 22 Mar 2021)
• Richard Charlesworth

  IRN RXC00719

  • [FCA CF] Significant management (since 7 Feb 2024)
  • [FCA CF] Material risk taker (since 7 Feb 2024)
• Rupert Simon Toby Osborne

  IRN RSO01019

  • SMF1 Chief Executive (since 4 Jul 2024)
  • SMF3 Executive Director (since 8 Jan 2024)
  • [FCA CF] Material risk taker (since 7 Jun 2022)
  • [FCA CF] Client dealing (14 Nov 2023 to 15 Feb 2024)
• Shah Hoque

  IRN SXH01241

  • [FCA CF] Significant management (since 25 Oct 2024)
  • [FCA CF] Material risk taker (since 25 Oct 2024)
• Sheena Kanabar

  IRN SXK02905

  • SMF3 Executive Director (since 10 May 2024)
  • [FCA CF] Material risk taker (since 12 Feb 2024)
• Simon Charles Henry

  IRN SXH01763

  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Jul 2021 to 30 Jun 2022)
  • SMF16 Compliance Oversight (7 Jul 2021 to 30 Jun 2022)

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