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

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  • · 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.

• Thomas Claude Pierre Retraint

  IRN TXR00246

  • [FCA CF] Algorithmic trading (1 Nov 2023 to 16 Feb 2024)
  • [FCA CF] Client dealing (1 Nov 2023 to 16 Feb 2024)
• Thomas Faulkner

  IRN TXF00071

  • SMF18 Other Overall Responsibility (since 11 Jun 2025)
  • SMF24 Chief Operations (8 Sep 2022 to 11 Jun 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 7 Sep 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 7 Sep 2022)
• Thomas Frederick Christie Cooper

  IRN TFC01011

  • [FCA CF] Manager of certification employee (since 31 Oct 2025)
  • [FCA CF] Client dealing (since 31 Oct 2025)
• Thomas Luke Curran

  IRN TLC01036

  • [FCA CF] Manager of certification employee (since 2 May 2023)
  • [FCA CF] Material risk taker (since 2 May 2023)
  • [FCA CF] Significant management (since 2 May 2023)
  • [FCA CF] Client dealing (since 2 May 2023)
• Thomas Martin Smith

  IRN TMS01099

  • [FCA CF] Client dealing (since 5 May 2023)
• Thomas Paul Maris Stewart

  IRN TXS03891

  • [FCA CF] Algorithmic trading (13 Feb 2023 to 7 Nov 2025)
  • [FCA CF] Client dealing (13 Feb 2023 to 7 Nov 2025)
• Tim Wilbraham

  IRN TXW01116

  • [FCA CF] Manager of certification employee (since 1 Jul 2023)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (1 Dec 2001 to 31 Oct 2007)
• Timothy Burton

  IRN TXB00687

  • [FCA CF] Significant management (since 28 Nov 2025)
• Timothy John Curran

  IRN TJC01129

  • CF11 Money Laundering Reporting (15 Jun 2012 to 14 Feb 2014)
• Timothy Robert Lewis Newman

  IRN TRN01008

  • CF30 Customer (1 Nov 2007 to 2 Aug 2012)
  • CF26 Customer Trading (6 Jun 2007 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.