CMC Markets UK plc

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FRN: 173730
Date authorised: 1 April 2013
Companies House: 02448409
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

133 Houndsditch

London

EC3A 7BX

UNITED KINGDOM

Phone

+4402071708200

Web

https://www.cmcmarkets.com
Complaints Contact

133 Houndsditch

London

City Of London

EC3A 7BX

UNITED KINGDOM

Phone

+442030038441

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Trade Settlement Routing

For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Stockbroking

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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), 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), Rights to or interests in investments (Security), 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.
Trades With You Directly

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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), 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), 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.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, 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), Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.
Holds Your Assets

For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Electronic Trade Settlement

For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

George Alan Sassoon
IRN GAS01091
- CF30 Customer (21 Feb 2013 to 27 May 2015)
George Woodford-White
IRN GXW00411
- [FCA CF] CASS oversight function (since 14 May 2025)
- [FCA CF] Significant management (since 14 May 2025)
Giles Stuart Lee
IRN GSL01027
- CF30 Customer (1 Nov 2007 to 17 Feb 2017)
- CF26 Customer Trading (17 Mar 2005 to 31 Oct 2007)
- CF21 Investment Adviser (16 Mar 2004 to 17 Mar 2005)
Goran Andrew Drapac
IRN GAD01055
- CF1 Director (8 Aug 2002 to 21 Mar 2003)
- CF16 Significant Mgt (Desgntd Investment Business) (20 Mar 2002 to 21 Mar 2003)
Graeme Christopher Charlton
IRN GCC01044
- CF26 Customer Trading (20 Jul 2004 to 24 Sep 2004)
Graham Leslie Symonds
IRN GLS01075
- CF29 Significant management (13 May 2010 to 1 May 2012)
Grant Jeffrey Foley
IRN GJF01059
- CF11 Money Laundering Reporting (5 Mar 2014 to 1 Jul 2015)
- CF1 Director (23 Aug 2013 to 7 Jun 2019)
- CF28 Systems and controls (25 Jun 2013 to 16 Apr 2019)
Greg Andrew Niebank
IRN GAN01019
- CF29 Significant management (26 Jun 2013 to 17 May 2019)
- CF30 Customer (1 Nov 2007 to 17 May 2019)
- CF26 Customer Trading (17 Mar 2005 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 17 Mar 2005)
Guillaume Stephane Marie Ghislain Klotz
IRN GSK01027
- CF30 Customer (1 Nov 2007 to 3 Jul 2012)
- CF26 Customer Trading (19 Oct 2007 to 31 Oct 2007)
Guy Jonathan Barton Jackson
IRN GJJ01008
- SMF17 Money Laundering Reporting Officer (MLRO) (22 Mar 2024 to 31 May 2024)
- SMF16 Compliance Oversight (22 Mar 2024 to 31 May 2024)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Purple Lounge Ltd (no longer appointed)
FRN 493785 · Appointed 1 Jan 2009 · Until 11 Nov 2010
Global Equity Trading Ltd (no longer appointed)
FRN 493098 · Appointed 17 Dec 2008 · Until 28 Aug 2009
Trade2Win Limited (no longer appointed)
FRN 492425 · Appointed 4 Dec 2008 · Until 24 Dec 2008
Information Exchange Limited (no longer appointed)
FRN 492367 · Appointed 3 Dec 2008 · Until 28 Aug 2009
Ezeetrader Markets Limited (no longer appointed)
FRN 491742 · Appointed 21 Nov 2008 · Until 17 Jun 2010
Equals Money PLC (no longer appointed)
FRN 488396 · Appointed 4 Sep 2008 · Until 6 Aug 2010
EquityTrades4u Limited (no longer appointed)
FRN 486104 · Appointed 15 Jul 2008 · Until 17 Jun 2010
Express Newspapers (no longer appointed)
FRN 455524 · Appointed 12 Jun 2008 · Until 2 Dec 2009
Clickthemarkets.com.Ltd (no longer appointed)
FRN 484371 · Appointed 9 Jun 2008 · Until 28 Aug 2009
Cantos Communications Limited (no longer appointed)
FRN 483357 · Appointed 15 May 2008 · Until 15 Sep 2010

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.