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.

• Sarah Jane Christmas

  IRN SJC01228

  • CF26 Customer Trading (1 Dec 2001 to 14 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Jun 2002)
• Simon Roy Ward

  IRN SRW01044

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Aug 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 4 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 Aug 2025)
  • CF30 Customer (28 Oct 2013 to 8 Dec 2019)
• Sonja Verity Greenhow

  IRN SVG01009

  • CF21 Investment Adviser (25 Apr 2006 to 10 Sep 2007)
  • CF27 Investment Management (25 Apr 2006 to 10 Sep 2007)
  • CF22 Investment Adviser (Trainee) (9 Nov 2004 to 25 Apr 2006)
• Stephen David Jones

  IRN SDJ01038

  • CF21 Investment Adviser (7 Nov 2003 to 26 Jan 2004)
• Susan Rose McCabe

  IRN SRM01123

  • CF21 Investment Adviser (2 Mar 2004 to 15 Mar 2005)
• Terence Edward William Andrews

  IRN TEA01006

  • CF30 Customer (30 Aug 2016 to 11 Apr 2017)
• Thomas Ian Du Plessis

  IRN TID01002

  • CF30 Customer (2 Jun 2014 to 11 Apr 2017)
• Thomas Jones

  IRN TXJ00175

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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
  • 14. Managing investments
  • [FCA CF] Client dealing (since 24 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 24 Jun 2024)
• Trevor David Coote

  IRN TDC01017

  • [FCA CF] Client dealing (since 1 Aug 2025)
• William Sallis

  IRN WXS00049

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (11 Jun 2019 to 8 Dec 2019)

• 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.