CMC Markets UK plc

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
    • · 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.

  • Seetal Suman Patel

    IRN SSP01018

    • CF26 Customer Trading (1 Dec 2001 to 1 Nov 2002)
  • Sejal Patel

    IRN SXP01569

    • CF30 Customer (1 Nov 2007 to 8 Apr 2011)
    • CF26 Customer Trading (3 Aug 2005 to 31 Oct 2007)
  • Shaqeeb Ashfaq

    IRN SXA01750

    • CF30 Customer (15 Jan 2009 to 10 Mar 2009)
  • Sheena Kanabar

    IRN SXK02905

    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2021)
    • CF10 Compliance Oversight (18 Oct 2017 to 8 Dec 2019)
  • Sheena Yasmine Khan

    IRN SYK01009

    • CF30 Customer (12 Sep 2008 to 17 Feb 2009)
  • Simon Campbell

    IRN SXC01634

    • [FCA CF] Significant management (since 1 Aug 2025)
    • [FCA CF] Material risk taker (since 1 Aug 2025)
    • [FCA CF] Manager of certification employee (since 1 Aug 2025)
    • [FCA CF] Client dealing (since 1 Aug 2025)
    • [FCA CF] Algorithmic trading (since 1 Aug 2025)
    • SMF18 Other Overall Responsibility (8 Sep 2022 to 24 Feb 2025)
    • [FCA CF] Significant management (9 Dec 2019 to 7 Sep 2022)
    • [FCA CF] Algorithmic trading (9 Dec 2019 to 7 Sep 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 Sep 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Sep 2022)
    • CF29 Significant management (25 Jun 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 7 Jan 2011)
    • CF26 Customer Trading (16 Jul 2003 to 10 Oct 2003)
  • Simon Carter

    IRN SXC00430

    • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2022)
  • Simon Daniel John Hodges

    IRN SDH01080

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Feb 2015 to 8 Dec 2019)
  • Simon John Waugh

    IRN SJW01265

    • CF2 Non Executive Director (21 Aug 2009 to 31 Dec 2017)
  • Simon King

    IRN SXK00245

    • SMF18 Other Overall Responsibility (8 Sep 2022 to 1 Feb 2026)
    • [FCA CF] Material risk taker (9 Dec 2019 to 7 Sep 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 7 Sep 2022)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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