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.

• Matthew Charles Wright

  IRN MCW01112

  • CF1 Director (7 Sep 2015 to 30 Jun 2016)
  • CF10 Compliance Oversight (7 Sep 2015 to 30 Jun 2016)
  • CF11 Money Laundering Reporting (7 Sep 2015 to 30 Jun 2016)
• Matthew Lee George

  IRN MLG01078

  • [FCA CF] CASS oversight function (since 31 Mar 2021)
  • CF10a CASS Oversight function (17 May 2016 to 8 Dec 2019)
• Matthew Miles Kent

  IRN MXK01518

  • CF30 Customer (2 May 2008 to 3 Dec 2008)
• Matthew Thomas Yardley Wreford

  IRN MTW01045

  • CF2 Non Executive Director (22 Oct 2012 to 25 Mar 2014)
• Max Alan Oliver

  IRN MAO01063

  • CF26 Customer Trading (4 Oct 2005 to 5 Dec 2006)
• Melissa Frances Perpetua Counihan

  IRN MFC01056

  • CF30 Customer (1 Nov 2007 to 3 Dec 2008)
  • CF26 Customer Trading (19 Feb 2007 to 31 Oct 2007)
• Michael Alan Spencer

  IRN MAS01216

  • CF2 Non Executive Director (1 Dec 2001 to 24 Nov 2006)
• Michael Herron

  IRN MPH01142

  • CF1 Director (5 Oct 2012 to 31 Aug 2014)
  • CF29 Significant management (12 Apr 2012 to 12 Sep 2012)
• Michael John Samways

  IRN MJS01499

  • CF28 Systems and controls (17 Jul 2008 to 6 Oct 2017)
• Michael Peter Lear

  IRN MPL01089

  • CF1 Director (23 Nov 2012 to 31 May 2019)

• 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.