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.

• Stuart Gordon Henry Jackson

  IRN SGJ01031

  • CF30 Customer (11 Jan 2010 to 9 Dec 2010)
• Stuart McLean Jamieson

  IRN SMJ01079

  • CF30 Customer (1 Nov 2007 to 10 Jan 2008)
  • CF26 Customer Trading (19 Feb 2007 to 31 Oct 2007)
• Susan Healy Wallace

  IRN SHW01013

  • CF26 Customer Trading (1 Dec 2001 to 21 May 2007)
• Taher Suterwalla

  IRN TXS01149

  • CF26 Customer Trading (1 Dec 2001 to 3 Jul 2002)
• Thomas Anthony Binks

  IRN TAB01059

  • CF2 Non Executive Director (14 Mar 2008 to 16 Dec 2008)
• Thomas Leyhane

  IRN TRL01021

  • CF11 Money Laundering Reporting (2 Aug 2016 to 1 Feb 2018)
  • CF10 Compliance Oversight (2 Aug 2016 to 1 Feb 2018)
• Thomas Michael Wright

  IRN TMW01075

  • CF30 Customer (2 Dec 2011 to 8 Dec 2019)
• Thomas Roberts

  IRN TPR01013

  • CF26 Customer Trading (22 Sep 2003 to 6 Jul 2007)
• Timothy Francis O'Sullivan

  IRN TFO01007

  • SMF3 Executive Director (9 Dec 2019 to 12 Apr 2021)
  • CF28 Systems and controls (4 Aug 2015 to 8 Dec 2019)
  • CF1 Director (4 Aug 2015 to 8 Dec 2019)
• Timothy John Hogman

  IRN TJH01062

  • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2002)

• 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.