CMC Markets UK plc

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FRN: 173730
Date authorised: 1 April 2013
Companies House: 02448409
Last scraped: 3 weeks ago

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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 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
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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
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
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- · 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.

James Alex Fordham
IRN JAF01076
- CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2003)
James Allen
IRN JXA01225
- CF26 Customer Trading (1 Dec 2001 to 2 Sep 2003)
James Charles Hardy
IRN JCH01214
- CF30 Customer (31 Oct 2008 to 7 Jan 2011)
James Edwin Norman Thomas
IRN JET01113
- CF10a CASS Oversight function (1 Oct 2011 to 30 Apr 2012)
- CF29 Significant management (13 May 2010 to 30 Apr 2012)
James Egerton Cartwright
IRN JEC01100
- [FCA CF] Manager of certification employee (1 Jul 2023 to 22 Dec 2023)
- [FCA CF] Client dealing (9 Dec 2021 to 22 Dec 2023)
- [FCA CF] Significant management (9 Dec 2021 to 22 Dec 2023)
James Elliot Mitchell
IRN JEM01159
- CF30 Customer (1 Nov 2007 to 10 Mar 2008)
- CF26 Customer Trading (21 Oct 2003 to 31 Oct 2007)
James Gillan
IRN JXG01859
- CF11 Money Laundering Reporting (30 Jun 2010 to 2 May 2011)
James Hales
IRN JRH01268
- CF10 Compliance Oversight (14 Jul 2011 to 1 Apr 2012)
James Hamelin Foulsham
IRN JHF01024
- CF21 Investment Adviser (30 May 2003 to 30 Jul 2004)
James Michael Yates
IRN JMY01013
- CF30 Customer (1 Nov 2007 to 3 Jul 2012)
- CF26 Customer Trading (17 Mar 2005 to 31 Oct 2007)
- CF21 Investment Adviser (6 Feb 2002 to 17 Mar 2005)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Global Equity Trading Ltd (no longer appointed)
FRN 493098 · Appointed 28 Sep 2009 · Until 11 Nov 2010
Vitesse Media PLC (no longer appointed)
FRN 480295 · Appointed 16 Sep 2009 · Until 15 Jan 2010
Clickthemarkets.com.Ltd (no longer appointed)
FRN 484371 · Appointed 16 Sep 2009 · Until 8 Apr 2010
OSTC Limited (no longer appointed)
FRN 473634 · Appointed 16 Sep 2009 · Until 29 Aug 2012
FX Protrade Ltd (no longer appointed)
FRN 494665 · Appointed 16 Sep 2009 · Until 19 Dec 2010
Information Exchange Limited (no longer appointed)
FRN 492367 · Appointed 16 Sep 2009 · Until 1 Sep 2010
Proactive Investors Ltd (no longer appointed)
FRN 475129 · Appointed 16 Sep 2009 · Until 31 Oct 2010
Trading Knowledge Ltd (no longer appointed)
FRN 506922 · Appointed 15 Sep 2009 · Until 17 Jun 2010
32Red Plc (no longer appointed)
FRN 494919 · Appointed 21 Jan 2009 · Until 13 Oct 2010
FX Protrade Ltd (no longer appointed)
FRN 494665 · Appointed 15 Jan 2009 · Until 28 Aug 2009

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.