CMC Markets UK plc

Date authorised
1 April 2013
Companies House
02448409
Last scraped
3 weeks ago
Watch for changes

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.

  • James Alex Fordham

    IRN JAF01076

    • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2003)
  • James Allen

    IRN JXA01225

    • CF26 Customer Trading (1 Dec 2001 to 2 Sep 2003)
  • James Charles Hardy

    IRN JCH01214

    • CF30 Customer (31 Oct 2008 to 7 Jan 2011)
  • James Edwin Norman Thomas

    IRN JET01113

    • CF10a CASS Oversight function (1 Oct 2011 to 30 Apr 2012)
    • CF29 Significant management (13 May 2010 to 30 Apr 2012)
  • James Egerton Cartwright

    IRN JEC01100

    • [FCA CF] Manager of certification employee (1 Jul 2023 to 22 Dec 2023)
    • [FCA CF] Client dealing (9 Dec 2021 to 22 Dec 2023)
    • [FCA CF] Significant management (9 Dec 2021 to 22 Dec 2023)
  • James Elliot Mitchell

    IRN JEM01159

    • CF30 Customer (1 Nov 2007 to 10 Mar 2008)
    • CF26 Customer Trading (21 Oct 2003 to 31 Oct 2007)
  • James Gillan

    IRN JXG01859

    • CF11 Money Laundering Reporting (30 Jun 2010 to 2 May 2011)
  • James Hales

    IRN JRH01268

    • CF10 Compliance Oversight (14 Jul 2011 to 1 Apr 2012)
  • James Hamelin Foulsham

    IRN JHF01024

    • CF21 Investment Adviser (30 May 2003 to 30 Jul 2004)
  • James Michael Yates

    IRN JMY01013

    • CF30 Customer (1 Nov 2007 to 3 Jul 2012)
    • CF26 Customer Trading (17 Mar 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Feb 2002 to 17 Mar 2005)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • City AM Limited (no longer appointed)

    FRN 480803 · Appointed 26 Mar 2008 · Until 26 Mar 2010

  • Vitesse Media PLC (no longer appointed)

    FRN 480295 · Appointed 13 Mar 2008 · Until 28 Aug 2009

  • Proactive Investors Ltd (no longer appointed)

    FRN 475129 · Appointed 12 Nov 2007 · Until 28 Aug 2009

  • OSTC Limited (no longer appointed)

    FRN 473634 · Appointed 8 Oct 2007 · Until 28 Aug 2009

  • Digital Look Ltd (no longer appointed)

    FRN 467277 · Appointed 30 Apr 2007 · Until 24 Jan 2011

Recent activity

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

No changes recorded yet.