Interactive Brokers (U.K.) Limited

• Principal Place of Business

  Interactive Brokers (UK) Ltd

  20 Fenchurch Street

  London

  City Of London

  EC3M 3BY

  UNITED KINGDOM

  Phone

  +442077105630

  Web

  https://www.interactivebrokers.co.uk

• Complaints Contact

  Interactive Brokers (UK) Ltd, 20 Fenchurch Street

  London

  City Of London

  EC3M 3BY

  UNITED KINGDOM

  Phone

  +442077105630

• Authorised to Operate

  For Eligible Counterparty, Professional, Retail (Investment)

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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), Alternative Debenture, 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, 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, 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, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, 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, 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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, 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, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Runs Personal Pensions

  For Personal pension scheme

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  • · The firm must not accept Self Invested Personal Pension (SIPP) transactions other than standard assets as set out in the List of Standard Assets in IPRU-INV 5.9.1, with the exception of financial derivatives as listed: Call option writing (this does not include naked call options) and buy write strategies. Direct property investment and term deposit accounts where these are only classified as non-standard assets by virtue of Note 1 to IPRU-INV 5.9.1 regarding liquidity within 30 days are however permitted SIPP transactions that the firm can accept.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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), 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, Unit, Warrant

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, 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, Unit, Warrant

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, 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, Unit, Warrant

• Alexander Ioffe

  IRN AXL01786

  • CF1 Director (1 Aug 2012 to 12 Dec 2017)
  • CF10a CASS Oversight function (18 Oct 2011 to 10 Nov 2011)
• Bryn Waslin

  IRN BXW01470

  • SMF2 Chief Finance (since 9 Dec 2019)
  • CF1 Director (1 Dec 2017 to 8 Dec 2019)
  • CF10a CASS Oversight function (2 Mar 2016 to 8 Dec 2019)
• Colin Harrison

  IRN CXH06853

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (18 Dec 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Dec 2018 to 8 Dec 2019)
• Dobrin Banov

  IRN DXB01088

  • SMF24 Chief Operations (since 14 Feb 2025)
• Douglas Allen Madonia

  IRN DAM01103

  • CF1 Director (6 Feb 2002 to 24 Aug 2012)
• Earl Harold Nemser

  IRN EHN01005

  • SMF9 Chair of the Governing Body (since 1 Feb 2023)
  • SMF12 Chair of the Remuneration Committee (since 1 Feb 2023)
  • SMF13 Chair of the Nominations Committee (since 9 Dec 2019)
  • CF2 Non Executive Director (2 Jun 2016 to 8 Dec 2019)
• Gerald Perez

  IRN GXP01139

  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF10a CASS Oversight function (24 Jun 2013 to 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Feb 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Feb 2002 to 31 Oct 2007)
  • CF1 Director (6 Feb 2002 to 8 Dec 2019)
  • CF3 Chief Executive (6 Feb 2002 to 8 Dec 2019)
• Graeme Farrell

  IRN GXF00163

  • SMF3 Executive Director (27 Aug 2024 to 31 Dec 2025)
  • SMF4 Chief Risk (1 Feb 2023 to 31 Dec 2025)
• James Bradie

  IRN JXB00754

  • SMF24 Chief Operations (16 Jun 2022 to 21 Feb 2025)
  • SMF3 Executive Director (16 Jun 2022 to 27 Aug 2024)
  • [FCA CF] Significant management (10 Dec 2019 to 16 Jun 2022)
• Jonathan Chait

  IRN JXC01424

  • SMF10 Chair of the Risk Committee (since 20 Jan 2023)
  • SMF3 Executive Director (9 Dec 2019 to 20 Jan 2023)
  • SMF24 Chief Operations (9 Dec 2019 to 20 Jan 2023)
  • CF1 Director (28 Apr 2003 to 8 Dec 2019)

No changes recorded yet.