CMC Markets UK plc

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
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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
    • · 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

    Show 1 limitation
    • · 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.

  • Neil Stuart Ross Grant

    IRN NSG01020

    • CF26 Customer Trading (25 Jul 2002 to 19 Nov 2004)
  • Nezha Yasmin Niyassi

    IRN NYN01000

    • CF22 Investment Adviser (Trainee) (10 Apr 2003 to 22 Mar 2004)
  • Nicholas Bratton

    IRN NXB00177

    • SMF18 Other Overall Responsibility (8 Sep 2022 to 21 Feb 2025)
    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Sep 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 7 Sep 2022)
  • Nicholas Gareth Mitchell

    IRN NGM01031

    • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
    • CF26 Customer Trading (14 May 2007 to 31 Oct 2007)
  • Nicholas John De Villiers Dale-Lace

    IRN NJD01111

    • [FCA CF] Manager of certification employee (since 1 Jul 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2021 to 19 Dec 2022)
    • CF30 Customer (12 Dec 2012 to 8 Dec 2019)
  • Nicholas Mark Edward Dewhirst

    IRN NMD01042

    • CF30 Customer (20 Jul 2009 to 29 Oct 2009)
  • Nicholas Moss

    IRN NJM01130

    • CF1 Director (17 Mar 2010 to 12 Nov 2012)
    • CF28 Systems and controls (8 Oct 2009 to 12 Nov 2012)
  • Nicholas Rickards

    IRN NRR01030

    • CF30 Customer (9 Apr 2010 to 6 May 2011)
  • Nicholas Robert Aitchison

    IRN NRA01040

    • [FCA CF] Client dealing (since 1 Jul 2024)
  • Nicholas Robinson

    IRN NJR01158

    • [FCA CF] Client dealing (since 26 Apr 2024)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

No changes recorded yet.