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

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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.

• 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

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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.

• 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.

• Richard Ashley Howe

  IRN RAH01137

  • CF21 Investment Adviser (1 Dec 2001 to 8 Sep 2004)
  • CF26 Customer Trading (1 Dec 2001 to 8 Sep 2004)
• Richard James Dziewulski

  IRN RJD01200

  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (13 Sep 2010 to 8 Dec 2019)
• Richard James Storer

  IRN RJS01387

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF10a CASS Oversight function (10 Feb 2017 to 8 Dec 2019)
  • CF1 Director (12 Jun 2015 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF13 Finance (4 Sep 2006 to 31 Oct 2007)
• Richard Pert

  IRN RXP01479

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on 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] Functions requiring qualifications (since 27 Mar 2023)
  • [FCA CF] Client dealing (since 27 Mar 2023)
• Richard Wayne De Larrinaga Harper

  IRN RWH00061

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • 14. Managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Jan 2005 to 31 Oct 2007)
  • CF27 Investment Management (24 Jan 2005 to 31 Oct 2007)
• Robert Ilic

  IRN RXI01019

  • SMF16 Compliance Oversight (9 Dec 2019 to 26 Jan 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Jan 2026)
  • CF10 Compliance Oversight (4 Sep 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
• Robert White

  IRN RMW01160

  • CF30 Customer (24 Apr 2012 to 19 Dec 2014)
• Robin George Boyle

  IRN RGB01052

  • CF30 Customer (16 Jun 2008 to 6 Jul 2018)
• Samuel John Moody

  IRN SJM01213

  • CF21 Investment Adviser (20 Feb 2003 to 10 Sep 2003)
• Sanjay Kumar Mehta

  IRN SKM00010

  • 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 2 Jun 2023)
  • [FCA CF] Client dealing (since 2 Jun 2023)

• 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.