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.

  • Simon Michael Clarkson

    IRN SMC01158

    • CF26 Customer Trading (26 Nov 2003 to 13 Aug 2004)
  • Simon Paul James Budd

    IRN SPB01100

    • CF21 Investment Adviser (1 Dec 2001 to 14 Mar 2005)
  • Simon Robert Taylor

    IRN SRT01076

    • SMF4 Chief Risk (8 Sep 2022 to 16 Sep 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2022)
    • CF28 Systems and controls (19 Mar 2019 to 8 Dec 2019)
  • Simon Tatam

    IRN SXT01725

    • CF29 Significant management (30 Apr 2012 to 10 Apr 2013)
    • CF10a CASS Oversight function (30 Apr 2012 to 10 Apr 2013)
  • Simon Warwick Napper

    IRN SWN01009

    • CF26 Customer Trading (1 Dec 2001 to 19 Oct 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 19 Oct 2004)
  • Siu Hang Chan

    IRN SXC00973

    • [FCA CF] Client dealing (since 13 Feb 2023)
    • [FCA CF] Algorithmic trading (since 13 Feb 2023)
  • Sophie Teston

    IRN SXT01580

    • CF30 Customer (3 Nov 2009 to 2 Mar 2010)
  • Stefano Bertolini

    IRN SXB02163

    • CF30 Customer (5 Nov 2007 to 19 Aug 2008)
  • Stephane Mombanga

    IRN SXM02570

    • CF30 Customer (19 Aug 2010 to 21 May 2014)
  • Stephen Robert Hatton

    IRN SRH01079

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jan 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.