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.

• 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)

• 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.