Creditex Brokerage LLP

• Principal Place of Business

  2nd Floor, Sancroft Rose Street

  Paternoster Square

  London

  EC4M 7DQ

  UNITED KINGDOM

  Phone

  +4402070657700

  Web

  https://www.theice.com

• Complaints Contact

  2nd Floor, Sancroft Rose Street

  Paternoster Square

  London

  EC4M 7DQ

  UNITED KINGDOM

  Phone

  +4402070501068

• 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, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Spread Bet, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Spread Bet, 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, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.
  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  For Eligible Counterparty, Professional, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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), Spread Bet, Warrant

• Trading Platform

  For Eligible Counterparty, Professional, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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.

• Specialist Trading Venue

  For Eligible Counterparty, Professional, Debenture, Government and public security

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  • · Unable to engage in dealing on own account, as defined in paragraph 3 of Part 3 of Schedule 2 to the Regulated Activities Order, unless in respect of bonds, structured finance products, emission allowances and derivatives, which have not been declared subject to the clearing obligation in accordance with EMIR, when: i. engaging in ‘matched principal trading’ as defined in the Glossary of defined expressions used in the FCA’s Handbook; and ii. the client has consented to such trading.

• Grant Greville Biggar

  IRN GGB01019

  • CF29 Significant management (1 Nov 2007 to 1 Feb 2010)
  • CF16 Significant Mgt (Desgntd Investment Business) (29 Oct 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (18 Jun 2007 to 31 Oct 2007)
  • CF26 Customer Trading (20 Feb 2007 to 10 Oct 2007)
  • CF11 Money Laundering Reporting (26 Jan 2007 to 13 Sep 2007)
• Gregory Meehan

  IRN GXM01993

  • CF30 Customer (1 Feb 2012 to 8 Feb 2013)
• Gregory Nelson Hedger

  IRN GNH01007

  • CF30 Customer (15 Dec 2015 to 9 Aug 2016)
• Guy Paul Newbury

  IRN GPN01009

  • CF30 Customer (1 Jun 2010 to 6 Aug 2010)
  • CF26 Customer Trading (19 Jul 2007 to 10 Oct 2007)
• Gwilym Rhys Leyshon Jennett

  IRN GRJ01025

  • CF30 Customer (14 Nov 2011 to 16 Nov 2015)
• Howard Mark Moore

  IRN HMM01062

  • CF30 Customer (4 Jun 2010 to 31 Aug 2010)
• Ian Anthony Vogt

  IRN IAV01002

  • CF30 Customer (5 Dec 2011 to 24 Jul 2012)
• James Paul Sinclair Lucas

  IRN JPL01040

  • CF30 Customer (18 Jun 2010 to 31 Dec 2013)
  • CF29 Significant management (16 Feb 2010 to 31 Dec 2013)
  • CF26 Customer Trading (20 Feb 2007 to 10 Oct 2007)
• James Robert Wenham

  IRN JRW01129

  • CF30 Customer (12 Dec 2013 to 12 Aug 2016)
• James Stanley Sawyer

  IRN JSS01159

  • CF30 Customer (31 Aug 2010 to 23 Jan 2013)

• K.C. BUSINESS CONSULTANCY LIMITED (no longer appointed)

  FRN 533570 · Appointed 14 Oct 2010 · Until 9 Dec 2011

• Markit Group (UK) Limited (no longer appointed)

  FRN 490833 · Appointed 30 Oct 2008 · Until 7 Jul 2010

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