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

  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.

• Nigel James Unwin

  IRN NJU01004

  • SMF18 Other Overall Responsibility (22 Dec 2023 to 1 May 2025)
  • [FCA CF] Significant management (1 Jul 2023 to 1 May 2025)
  • [FCA CF] CASS oversight function (13 Jun 2023 to 1 May 2025)
• Oliver David Keighley

  IRN ODK01005

  • CF30 Customer (10 Sep 2010 to 15 Apr 2011)
• Oliver Donovan

  IRN OXD00025

  • [FCA CF] Algorithmic trading (since 13 Feb 2023)
  • [FCA CF] Client dealing (since 12 Apr 2021)
• Oliver Huitson

  IRN OXH01044

  • CF30 Customer (17 Aug 2009 to 20 Aug 2012)
• Oliver James Lea

  IRN OJL01012

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Algorithmic trading (since 9 Dec 2019)
  • CF30 Customer (3 Sep 2012 to 8 Dec 2019)
• Oliver Onkar Singh Basi

  IRN OOB01003

  • [FCA CF] Significant management (9 Dec 2019 to 31 Jul 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jul 2020)
  • CF10 Compliance Oversight (27 Aug 2013 to 23 Nov 2015)
• Oriano Lizza

  IRN OXL00017

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Apr 2024)
• Patrick Alexander Latchford

  IRN PAL01080

  • CF29 Significant management (1 Nov 2007 to 31 May 2009)
  • CF16 Significant Mgt (Desgntd Investment Business) (13 Jun 2007 to 31 Oct 2007)
• Patrick Davis

  IRN PXD00145

  • [FCA CF] Significant management (21 Dec 2020 to 12 Dec 2022)
  • [FCA CF] Material risk taker (21 Dec 2020 to 12 Dec 2022)
• Patrick Peter Ryan-Dolan

  IRN PPR01011

  • CF21 Investment Adviser (25 Jul 2003 to 30 Jan 2004)

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No changes recorded yet.