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.

Henry Sherwood Dale Metcalf
IRN HXM01338
- CF30 Customer (20 Feb 2012 to 9 Oct 2013)
Ian Trevor Nicol
IRN ITN01001
- CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2018)
John Ashley Clarke
IRN JAC01318
- CF30 Customer (1 Nov 2007 to 12 Feb 2010)
- CF1 Director (4 Aug 2005 to 30 Mar 2015)
- CF27 Investment Management (23 Sep 2004 to 31 Oct 2007)
- CF21 Investment Adviser (23 Sep 2004 to 31 Oct 2007)
John Paul McLaughlin
IRN JPM01161
- CF30 Customer (1 Nov 2007 to 30 Sep 2011)
- CF27 Investment Management (1 May 2003 to 31 Oct 2007)
- CF21 Investment Adviser (1 May 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 May 2003)
Jonathan Bishop
IRN JXB01406
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 17. Administrative functions in relation to managing investments
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (30 May 2014 to 8 Dec 2019)
Jonathan Guilford Burman Crabtree
IRN JGC01059
- CF21 Investment Adviser (1 Dec 2001 to 12 Feb 2003)
- CF27 Investment Management (1 Dec 2001 to 12 Feb 2003)
Joseph Robert MacKenzie
IRN JRM01274
- CF30 Customer (27 Jul 2009 to 18 Sep 2015)
Joshua George Preston
IRN JGP01088
- 16. Safeguarding and administering investments or holding client money
- 3. Giving personal recommendations on derivatives
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Manager of certification employee (since 1 Nov 2024)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (2 Oct 2017 to 8 Dec 2019)
Leonard William Oram
IRN LWO01002
- CF21 Investment Adviser (1 Dec 2001 to 28 Jun 2005)
Linette Faye Zerk
IRN LFN00006
- CF30 Customer (3 Jan 2008 to 17 Feb 2010)

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.