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.

• James Frederick Connolly

  IRN JFC01118

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Mar 2014 to 8 Dec 2019)
• James Tapfield

  IRN JJT01077

  • [FCA CF] Client dealing (21 Dec 2022 to 31 Mar 2023)
• James William Tarrant

  IRN JWT01070

  • CF30 Customer (28 Jul 2014 to 26 Feb 2016)
• Jamie Stephen Roy Watts

  IRN JSW01071

  • [FCA CF] Material risk taker (since 22 Apr 2025)
  • [FCA CF] Manager of certification employee (since 21 Sep 2022)
  • [FCA CF] Client dealing (since 3 Feb 2021)
• Jenkin Ching Kei Leung

  IRN JXL00307

  • Director of firm who is not a certification employee or a SMF manager (16 Dec 2020 to 1 Apr 2021)
• Kam Hung Fok

  IRN KXF00103

  • Director of firm who is not a certification employee or a SMF manager (since 20 Jul 2021)
• Karen Lorraine George

  IRN KLG01037

  • CF30 Customer (10 Mar 2014 to 10 Apr 2017)
  • CF11 Money Laundering Reporting (10 Mar 2014 to 10 Apr 2017)
• Kuanlin Wang

  IRN KXW00159

  • Director of firm who is not a certification employee or a SMF manager (16 Dec 2020 to 30 Apr 2022)
• Lee Steven Davies

  IRN LSD01004

  • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2003)
• Lifan Zhang

  IRN LXZ01107

  • [FCA CF] Material risk taker (1 Jan 2022 to 30 Jun 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2023)
  • CF28 Systems and controls (1 Mar 2017 to 8 Dec 2019)

No changes recorded yet.