GHC CAPITAL MARKETS LTD.

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FRN: 152998
Date authorised: 1 April 2013
Companies House: 03113332
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

GHC Capital Markets Limited

Norwich House

26 Horsefair Street

Leicester

LE1 5BD

UNITED KINGDOM

Phone

+4401162045500

Web

https://www.ghcl.co.uk
Complaints Contact

GHC Capital Markets Limited

Norwich House

26 Horsefair Street

Leicester

LE1 5BD

UNITED KINGDOM

Phone

+4401162045500

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

P2P Lending Advice

For Eligible Counterparty, Professional, Retail (Investment)
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.
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), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant
Show 2 limitations Hide limitations
- · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.
- · 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant
Show 1 limitation Hide limitations
- · 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.
Trade Settlement Routing

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
Show 2 limitations Hide limitations
- · The investment type "contract for differences (excluding a spread bet and a rolling spot forex contract)" is restricted to Securitised Derivatives which meet the Listing Conditions.
- · 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.
Stockbroking

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant
Show 1 limitation Hide limitations
- · 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), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant
Show 2 limitations Hide limitations
- · The firm cannot undertake pension transfers and pension opt outs with respect to this activity.
- · 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.
Manages Your Portfolio

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
Show 1 limitation Hide limitations
- · 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, Retail (Investment), 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, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant
Show 1 limitation Hide limitations
- · 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.
Electronic Trade Settlement

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant
Show 2 limitations Hide limitations
- · 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.
- · The investment type "contract for differences (excluding a spread bet and a rolling spot forex contract)" is restricted to Securitised Derivatives which meet the Listing Conditions.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Campbell Frederick Wilson
IRN CFW01012
- CF21 Investment Adviser (2 Jul 2002 to 29 Aug 2003)
Christopher Dominic Vaughan
IRN CDV01016
- CF30 Customer (18 Nov 2013 to 29 May 2015)
Daniel John Good
IRN DJG01130
- CF21 Investment Adviser (23 Nov 2004 to 8 Dec 2006)
- CF27 Investment Management (23 Nov 2004 to 8 Dec 2006)
- CF22 Investment Adviser (Trainee) (12 May 2004 to 23 Nov 2004)
David Goy
IRN DXG01188
- CF27 Investment Management (24 Jun 2003 to 9 Mar 2004)
- CF1 Director (1 Dec 2001 to 2 Dec 2002)
- CF21 Investment Adviser (1 Dec 2001 to 2 Dec 2002)
Dexter William Bree
IRN DWB01077
- CF27 Investment Management (16 Jun 2003 to 26 Jun 2003)
- CF21 Investment Adviser (16 Jun 2003 to 26 Jun 2003)
Elanco Kanagasabapathy
IRN EXK01097
- CF21 Investment Adviser (6 Nov 2003 to 1 Dec 2003)
Eric Jay Werner
IRN EJW01077
- CF2 Non Executive Director (17 Oct 2005 to 4 Jun 2010)
Gary Bruce Rusby
IRN GBR01031
- CF30 Customer (13 Apr 2015 to 15 Apr 2016)
Gordon Edward Campbell
IRN GEC01036
- CF21 Investment Adviser (17 Jan 2002 to 31 Jul 2003)
Henry James Maurice Freeman
IRN HXF01041
- CF27 Investment Management (1 Dec 2001 to 12 Feb 2003)
- CF21 Investment Adviser (1 Dec 2001 to 12 Feb 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Mike Hall ACIB Ltd
FRN 432700 · Appointed 13 May 2005
Capital Financial Markets Limited (no longer appointed)
FRN 597030 · Appointed 11 Mar 2013 · Until 12 Apr 2017
Nicholas William Plumbridge (no longer appointed)
FRN 466506 · Appointed 11 Apr 2007 · Until 2 Aug 2007
Leonard William Oram (no longer appointed)
FRN 431448 · Appointed 22 Apr 2005 · Until 4 May 2005
Investment Risk Management Limited (no longer appointed)
FRN 231923 · Appointed 27 Feb 2004 · Until 31 Jan 2005

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.