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.

• Brendan Foxen

  IRN BXF00045

  • [FCA CF] Significant management (2 Nov 2020 to 26 Oct 2021)
  • [FCA CF] Material risk taker (11 Feb 2020 to 26 Oct 2021)
• Brett Rookard

  IRN BJR01035

  • [FCA CF] Client dealing (since 25 Oct 2023)
• Brian Griffin

  IRN BXG01082

  • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2005)
• Brice Joseph Madin

  IRN BJM01120

  • CF21 Investment Adviser (7 Mar 2002 to 22 Mar 2004)
• Bruno Da Costa Gomes

  IRN BDG01024

  • CF30 Customer (4 Mar 2008 to 11 Dec 2009)
• Carlo Pruscino

  IRN CXP00661

  • [FCA CF] Client dealing (6 Jun 2024 to 5 Sep 2025)
• Carlos Aparicio

  IRN CXA01343

  • CF30 Customer (19 Aug 2010 to 20 Jun 2011)
• Charalampos Bertsouklis

  IRN CXB01901

  • CF30 Customer (28 Jan 2014 to 20 Mar 2014)
• Charles Ashaley Leach

  IRN CXL01325

  • CF30 Customer (1 Nov 2007 to 12 Jan 2010)
  • CF26 Customer Trading (27 Nov 2006 to 31 Oct 2007)
• Cheuk Yi Leung

  IRN CXL00423

  • [FCA CF] Client dealing (since 13 May 2025)
  • [FCA CF] Algorithmic trading (since 13 May 2025)
  • [FCA CF] Algorithmic trading (31 Aug 2023 to 31 Dec 2024)
  • [FCA CF] Client dealing (31 Aug 2023 to 31 Dec 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.