GHC CAPITAL MARKETS LTD.

• 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

• 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

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  • · 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

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  • · 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

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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.

• 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

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  • · 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

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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.

• 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.

• Neil Simon Blankstone

  IRN NSB01033

  • [FCA CF] Client dealing (4 Mar 2024 to 15 May 2024)
  • [FCA CF] Manager of certification employee (4 Mar 2024 to 15 May 2024)
  • [FCA CF] Functions requiring qualifications (4 Mar 2024 to 15 May 2024)
• Nicholas William Plumbridge

  IRN NWP01009

  • CF30 Customer (1 Nov 2007 to 7 Oct 2009)
  • CF27 Investment Management (20 Sep 2004 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (20 Sep 2004 to 18 Apr 2007)
  • CF21 Investment Adviser (20 Sep 2004 to 31 Oct 2007)
• Nigel Beynon

  IRN NXB01124

  • CF30 Customer (1 Nov 2007 to 10 Jul 2008)
  • CF21 Investment Adviser (13 May 2002 to 31 Oct 2007)
  • CF27 Investment Management (13 May 2002 to 31 Oct 2007)
• Paul Jamie Coffin

  IRN PJC01178

  • CF1 Director (AR) (25 Mar 2013 to 11 Apr 2017)
  • CF30 Customer (1 Mar 2013 to 11 Apr 2017)
• Paul Raymond Harris

  IRN PRH01072

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (13 Nov 2003 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF14 Risk Assessment (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 18 Nov 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• Peter John Baxter

  IRN PJB01227

  • CF30 Customer (1 Nov 2007 to 9 May 2008)
  • CF27 Investment Management (6 Aug 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Aug 2007 to 31 Oct 2007)
• Rachel Kathryn Hardy

  IRN RKH01064

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (12 Nov 2019 to 8 Dec 2019)
  • CF1 Director (18 Mar 2015 to 8 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 1 Feb 2017)
  • CF29 Significant management (3 Jun 2011 to 8 Dec 2019)
• Rajesh Immanuel Rajmohan David

  IRN RID01008

  • CF21 Investment Adviser (6 Nov 2003 to 8 Dec 2003)
• Rajvinder Johal

  IRN RXJ01073

  • CF27 Investment Management (1 Dec 2001 to 4 Jul 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Jul 2007)
• Richard Anthony Grossman

  IRN RAG01056

  • CF30 Customer (8 Jun 2009 to 1 Mar 2013)

• 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

No changes recorded yet.