MarketAxess Post-Trade Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Investment Setup

For Eligible Counterparty, Professional, 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), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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 Data Publishing
Regulator Trade Reporting

Senior staff personally approved by the FCA to hold their roles here.

Joseph Marie Bertha Rene Van de Velde
IRN JMV01026
- CF2 Non Executive Director (1 May 2009 to 1 Mar 2013)
Kelvin John Dimmock
IRN KXD00144
- [FCA CF] Significant management (since 9 Dec 2020)
Kevin Lawrence Milne
IRN KLM01029
- CF1 Director (1 May 2009 to 8 Jan 2010)
- CF29 Significant management (1 May 2009 to 8 Jan 2010)
- CF3 Chief Executive (1 May 2009 to 8 Jan 2010)
Kimberly Antifave
IRN KXA00150
- [FCA CF] Material risk taker (6 May 2021 to 7 May 2021)
- [FCA CF] Significant management (6 May 2021 to 1 Jan 2022)
Krishnan Nair
IRN KXN14717
- CF28 Systems and controls (18 Jun 2019 to 8 Dec 2019)
Marc Richin
IRN MXR02527
- CF28 Systems and controls (3 Sep 2015 to 8 Dec 2019)
Miranda Ruth Morad
IRN MRM01179
- [FCA CF] Significant management (since 16 Apr 2024)
- SMF16 Compliance Oversight (26 Jan 2020 to 15 Apr 2024)
- CF10 Compliance Oversight (10 Sep 2013 to 1 Dec 2016)
- CF11 Money Laundering Reporting (10 Sep 2013 to 13 Nov 2015)
Nicholas David Moss
IRN NXM00194
- [FCA CF] Significant management (9 Dec 2020 to 21 Feb 2023)
Nigel James Woodus
IRN NJW01169
- CF29 Significant management (3 Feb 2011 to 10 Sep 2012)
- CF28 Systems and controls (3 Feb 2011 to 10 Sep 2012)
Niteen Sharma
IRN NXS01154
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2024)
- SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2020)
- CF10 Compliance Oversight (12 Dec 2016 to 8 Dec 2019)
- CF11 Money Laundering Reporting (13 Nov 2015 to 8 Dec 2019)

Updates to this firm's record on the FCA register.

No changes recorded yet.

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.