CMC Markets UK plc

• 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

• 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), 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

  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.

• 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

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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), 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

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  • · 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.

• Peter Nesden

  IRN PXN01092

  • CF21 Investment Adviser (1 Dec 2001 to 19 Oct 2004)
• Peter Rusiecki

  IRN PXR00152

  • [FCA CF] Significant management (9 Dec 2019 to 18 Nov 2022)
• Philip David Martin

  IRN PDM01089

  • CF21 Investment Adviser (1 Dec 2001 to 20 Jul 2004)
• Philip James Miles

  IRN PJM01278

  • CF26 Customer Trading (1 Dec 2001 to 2 May 2003)
• Philip John Routledge

  IRN PJR01126

  • SMF16 Compliance Oversight (17 Oct 2022 to 1 Mar 2023)
• Philip Yeo

  IRN PXY00015

  • [FCA CF] Significant management (9 Dec 2019 to 6 Mar 2026)
• Philippe Koulawell

  IRN PXK01348

  • CF30 Customer (17 Dec 2007 to 18 Sep 2008)
• Rafiat Angel Aramide Oyelade

  IRN RXO00175

  • [FCA CF] Algorithmic trading (since 6 Nov 2024)
• Rafik Patel

  IRN RXP01367

  • CF22 Investment Adviser (Trainee) (30 May 2003 to 22 Sep 2003)
• Raghav Jetty

  IRN RXJ00101

  • [FCA CF] Significant management (7 Dec 2020 to 31 Jul 2023)
  • [FCA CF] CASS oversight function (12 Jul 2020 to 31 Jul 2023)

• 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

No changes recorded yet.