Gain Capital UK Limited

• Principal Place of Business

  Gain Capital UK Limited

  First Floor

  Moor House

  120 London Wall

  London

  City Of London

  EC2Y 5ET

  UNITED KINGDOM

  Phone

  +4402035806000

  Web

  https://www.stonex.com

• Complaints Contact

  First Floor

  Moor House

  120 London Wall

  London

  City Of London

  EC2Y 5ET

  UNITED KINGDOM

  Phone

  +4402035806000

• 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), Commodity Future, Commodity option and option on commodity future, 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), Share, Unit

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, 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), Share

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, 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), Share

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Mark Jeffrey Preston

  IRN MJP01195

  • CF3 Chief Executive (13 Feb 2014 to 1 Apr 2015)
  • CF1 Director (4 Oct 2013 to 12 Dec 2013)
• Mark Joseph Outten

  IRN MJO01065

  • CF26 Customer Trading (1 Dec 2001 to 21 Feb 2007)
• Mark Liam Kingston

  IRN MLK01018

  • CF26 Customer Trading (15 Oct 2004 to 4 May 2005)
• Mark Nicholas Lee Whitlock

  IRN MNW01010

  • CF1 Director (3 Mar 2008 to 27 May 2009)
  • CF10 Compliance Oversight (3 Mar 2008 to 2 Mar 2009)
  • CF11 Money Laundering Reporting (3 Mar 2008 to 2 Mar 2009)
• Mark Simon Schreiber

  IRN MSS01048

  • CF10 Compliance Oversight (1 Dec 2001 to 24 Jun 2002)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Jun 2002)
• Mark Steven Ticehurst

  IRN MST01028

  • CF26 Customer Trading (1 Dec 2001 to 19 Jul 2002)
• Mark Timothy Ivor Priest

  IRN MTP01025

  • CF21 Investment Adviser (1 Dec 2001 to 14 May 2004)
  • CF26 Customer Trading (1 Dec 2001 to 13 Oct 2004)
• Martin David John Belsham

  IRN MDB01077

  • CF3 Chief Executive (11 Mar 2009 to 11 Dec 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2003)
  • CF1 Director (1 Dec 2001 to 14 Feb 2003)
• Martin James Pitts

  IRN MJP01173

  • CF26 Customer Trading (5 Jun 2003 to 15 Sep 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)
• Martin Karl Stalhandske

  IRN KMS01094

  • CF30 Customer (19 May 2009 to 30 Oct 2009)

• IO com Kereskedelrni és Szolgáltató koríatolt Felelosségú Táraság (no longer appointed)

  FRN 587251 · Appointed 30 Aug 2012 · Until 2 Oct 2013

• Tom Hougaard (no longer appointed)

  FRN 516583 · Appointed 21 Jan 2010 · Until 14 Jul 2011

• PGB Limited (no longer appointed)

  FRN 496584 · Appointed 19 Feb 2009 · Until 19 Jan 2010

No changes recorded yet.