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.

• SIU KEI WAI

  IRN SXW00756

  • Director of firm who is not a certification employee or a SMF manager (29 Mar 2023 to 30 Apr 2024)
• Samantha Mary Howell

  IRN SMH01196

  • [FCA CF] Material risk taker (1 Jan 2022 to 21 Feb 2025)
  • [FCA CF] Significant management (22 Apr 2021 to 21 Feb 2025)
• Shaun Pratley

  IRN SXP01197

  • CF11 Money Laundering Reporting (26 Apr 2017 to 3 Aug 2018)
  • CF10 Compliance Oversight (13 Oct 2016 to 3 Aug 2018)
• Shoujian Liu

  IRN SXL02209

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 15 Dec 2023)
  • CF2 Non Executive Director (27 Dec 2017 to 8 Dec 2019)
• Solomon Jay Terry

  IRN SJT01237

  • [FCA CF] Client dealing (19 Mar 2024 to 13 Mar 2026)
• Songsong Rao

  IRN SXR02044

  • SMF3 Executive Director (since 15 Nov 2024)
  • SMF1 Chief Executive (since 15 Nov 2024)
• Stuart John Lawson

  IRN SJL01265

  • CF30 Customer (16 May 2016 to 25 Sep 2017)
• THOMAS PENNEY

  IRN TXP00316

  • [FCA CF] Client dealing (since 24 May 2024)
• Wei Wei

  IRN WXW01165

  • CF2 Non Executive Director (6 Apr 2016 to 26 Dec 2017)
• Yan Chen

  IRN YXC01041

  • [FCA CF] Client dealing (since 3 Dec 2020)
  • [FCA CF] Algorithmic trading (31 Mar 2022 to 31 Mar 2023)

No changes recorded yet.