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.

• Michael Charles Thompson

  IRN MCT01039

  • CF8 Apportionment and Oversight (7 Jan 2004 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 26 Feb 2014)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 26 Feb 2014)
• Michael John Thompson

  IRN MJT01107

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 May 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 7 May 2021)
  • CF28 Systems and controls (12 Oct 2016 to 8 Dec 2019)
  • CF1 Director (10 Mar 2014 to 6 Apr 2016)
  • CF30 Customer (1 Nov 2007 to 12 Oct 2016)
  • CF10 Compliance Oversight (1 Dec 2001 to 12 Oct 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Miranda Sau Ting Leung

  IRN MXL07154

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 14 Nov 2020)
  • CF2 Non Executive Director (14 Nov 2018 to 8 Dec 2019)
• Neil Anthony Carr

  IRN NAC01094

  • [FCA CF] Client dealing (since 28 May 2025)
• Nicholas Henry Ebdon

  IRN NHE01004

  • [FCA CF] Client dealing (21 Sep 2022 to 10 May 2023)
• Nick Edkins

  IRN NCE01011

  • [FCA CF] Client dealing (5 Dec 2022 to 31 Mar 2023)
• Nicola Burt

  IRN NXH01154

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Feb 2025)
  • CF30 Customer (20 Aug 2018 to 8 Dec 2019)
• Nigel Kenneth Dentoom

  IRN NKD01010

  • CF2 Non Executive Director (1 Jun 2018 to 8 Dec 2019)
  • CF1 Director (6 Apr 2016 to 10 Dec 2017)
  • CF3 Chief Executive (6 Apr 2016 to 10 Dec 2017)
  • CF30 Customer (6 Apr 2016 to 10 Dec 2017)
• Oliver John Whiting

  IRN OJW01015

  • [FCA CF] Client dealing (24 May 2021 to 21 Feb 2025)
• Paul Edward Chesterman

  IRN PEC01033

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Feb 2025)
  • CF30 Customer (13 Aug 2018 to 8 Dec 2019)

No changes recorded yet.