CCBI GLOBAL MARKETS (UK) LIMITED

• Principal Place of Business

  111 Old Broad Street

  London

  EC2N 1AP

  UNITED KINGDOM

  Phone

  +4402038788000

  Web

  http://www.ccbintl.co.uk

• Complaints Contact

  111 Old Broad Street

  London

  EC2N 1AP

  UNITED KINGDOM

  Phone

  +4402038788000

• 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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  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), Rolling spot forex contract, Share, Spread Bet, 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, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, 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 Eligible Counterparty, Professional, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Holds Your Assets

  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), Rolling spot forex contract, Share, Spread Bet, 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.

• Alfie Charles Dean Baker

  IRN AXB01022

  • [FCA CF] Client dealing (2 Apr 2024 to 15 Jan 2026)
• Anda Maltais

  IRN AXM01991

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Mar 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Mar 2024)
  • CF11 Money Laundering Reporting (12 Sep 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Sep 2018 to 8 Dec 2019)
• Andrew Birse Silver

  IRN ABS01025

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2025)
  • CF30 Customer (26 Sep 2018 to 8 Dec 2019)
• Andrew William Gooch

  IRN AWG01023

  • SMF1 Chief Executive (19 Jun 2023 to 13 Oct 2024)
  • SMF3 Executive Director (9 Dec 2019 to 13 Oct 2024)
  • CF3 Chief Executive (11 Dec 2017 to 8 Dec 2019)
  • CF1 Director (11 Dec 2017 to 8 Dec 2019)
• Ann Maria McCann

  IRN AMM01103

  • CF30 Customer (1 Nov 2007 to 17 Aug 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Anthony Arthur Lucas

  IRN AAL00019

  • CF30 Customer (10 Jan 2013 to 30 Jul 2015)
• Anthony William Leek

  IRN AWL01025

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Feb 2022)
  • CF30 Customer (30 Apr 2018 to 8 Dec 2019)
• Antonio Hernandez Laviades

  IRN AXH11414

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jul 2024)
  • SMF16 Compliance Oversight (since 5 Jul 2024)
• Apurv Bagri

  IRN AXB01398

  • CF2 Non Executive Director (6 Apr 2016 to 31 May 2018)
  • CF30 Customer (1 Nov 2007 to 6 Apr 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 6 Apr 2016)
• Ashraf Khalil Meleka

  IRN AKM01039

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jan 2020)
  • CF30 Customer (26 Sep 2018 to 8 Dec 2019)

No changes recorded yet.