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

  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

  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.

• Arranges Asset Safekeeping

  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.

• 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

  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.

• 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

  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.

• Laurence Booth

  IRN LPB01014

  • SMF3 Executive Director (since 21 May 2025)
  • SMF18 Other Overall Responsibility (1 Dec 2022 to 21 May 2025)
  • [FCA CF] Client dealing (1 Apr 2022 to 30 Nov 2022)
  • [FCA CF] Significant management (1 Apr 2022 to 30 Nov 2022)
• Le Zhu

  IRN LXZ00051

  • [FCA CF] Manager of certification employee (since 25 Apr 2025)
  • [FCA CF] Material risk taker (since 25 Apr 2025)
  • [FCA CF] Client dealing (since 25 Apr 2025)
  • [FCA CF] Algorithmic trading (since 25 Apr 2025)
• Leandra Vanessa McPhillips

  IRN LVM01006

  • CF30 Customer (18 Jun 2009 to 1 Oct 2009)
  • CF21 Investment Adviser (6 May 2004 to 14 Mar 2005)
• Liam Reynish

  IRN LXR00164

  • [FCA CF] Algorithmic trading (13 Feb 2023 to 23 May 2025)
  • [FCA CF] Client dealing (7 Dec 2020 to 23 May 2025)
• 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)
• Lizhong Feng

  IRN LXF00319

  • [FCA CF] Client dealing (since 13 Mar 2026)
• Lorinda Joanne Long

  IRN LJL01025

  • CF29 Significant management (13 May 2010 to 28 Jan 2011)
• Lorna Corbett

  IRN LXC01481

  • CF30 Customer (8 Jul 2010 to 28 Jun 2011)
• Louis John Cooper

  IRN LJC01080

  • CF21 Investment Adviser (1 Dec 2001 to 20 Jul 2004)
• Louise Frances Elstow

  IRN LXE01081

  • CF30 Customer (1 Nov 2007 to 10 Dec 2008)
  • CF26 Customer Trading (12 Apr 2006 to 31 Oct 2007)

• 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

No changes recorded yet.