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.

• Danielle Christina Connolly

  IRN DCL01046

  • CF30 Customer (7 Dec 2007 to 25 Mar 2010)
• David George Smith

  IRN DGS01065

  • CF30 Customer (1 Nov 2007 to 17 Aug 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Feng Chen

  IRN FXC00157

  • SMF9 Chair of the Governing Body (since 31 Jan 2024)
  • Director of firm who is not a certification employee or a SMF manager (28 Nov 2023 to 31 Jan 2024)
• Gary Daniel Casey

  IRN GDC01039

  • [FCA CF] Algorithmic trading (since 8 Jan 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 Nov 2019 to 8 Dec 2019)
• Gary Sears

  IRN GAS01052

  • [FCA CF] Client dealing (5 Dec 2022 to 31 Mar 2023)
• Geoffrey Leslie Ison

  IRN GLI01001

  • CF30 Customer (1 Nov 2007 to 23 Nov 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Glen Newman

  IRN GXN01059

  • [FCA CF] Client dealing (since 26 Jun 2023)
• Graham David Crockett

  IRN GDC01040

  • CF21 Investment Adviser (1 Dec 2001 to 17 Mar 2006)
• Huan Yu

  IRN HXY00041

  • SMF3 Executive Director (7 Mar 2024 to 30 Jun 2025)
  • [FCA CF] Significant management (3 Jul 2023 to 15 Aug 2025)
  • [FCA CF] Material risk taker (3 Jul 2023 to 15 Aug 2025)
• Jack Roy Exley

  IRN JRE01077

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2024)
  • CF30 Customer (24 Nov 2009 to 8 Dec 2019)

No changes recorded yet.