CMC Markets Investments Limited

• Principal Place of Business

  133 Houndsditch

  London

  EC3A 7BX

  UNITED KINGDOM

  Phone

  +442030038303

  Web

  https://www.cmcinvest.com

• Complaints Contact

  133 Houndsditch

  London

  EC3A 7BX

  UNITED KINGDOM

  Phone

  +4402030038303

• 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Structured Deposits, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Lisa Ann Collins

  IRN LXC00449

  • [FCA CF] Manager of certification employee (1 Jul 2023 to 25 Sep 2024)
  • [FCA CF] Client dealing (3 Feb 2023 to 25 Sep 2024)
• Maria Anne-Laure El Fathi

  IRN MAE01120

  • SMF17 Money Laundering Reporting Officer (MLRO) (15 Jan 2025 to 30 Sep 2025)
• Matthew Oliver James Pearce

  IRN MXP00722

  • [FCA CF] Client dealing (30 Jun 2023 to 16 Feb 2024)
• Muffadal Adamjee

  IRN MXA00306

  • [FCA CF] Significant management (6 Apr 2022 to 5 Jun 2023)
• Neil Harry Vinall

  IRN NHV01001

  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Significant management (since 6 Apr 2022)
  • [FCA CF] Material risk taker (since 6 Apr 2022)
• Nicholas Bratton

  IRN NXB00177

  • [FCA CF] Material risk taker (6 Apr 2022 to 30 Apr 2025)
  • [FCA CF] Significant management (6 Apr 2022 to 30 Apr 2025)
• Nicholas John De Villiers Dale-Lace

  IRN NJD01111

  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Client dealing (since 6 Apr 2022)
  • [FCA CF] Significant management (since 6 Apr 2022)
• Nigel James Unwin

  IRN NJU01004

  • [FCA CF] CASS oversight function (13 Mar 2023 to 1 May 2025)
  • [FCA CF] Significant management (13 Mar 2023 to 1 May 2025)
• Patrick Davis

  IRN PXD00145

  • [FCA CF] Material risk taker (6 Apr 2022 to 12 Dec 2022)
  • [FCA CF] Significant management (6 Apr 2022 to 12 Dec 2022)
• Peter Andrew Cruddas

  IRN PAC01129

  • SMF3 Executive Director (since 21 Mar 2022)
  • SMF1 Chief Executive (21 Mar 2022 to 5 May 2023)

No changes recorded yet.