MMC Securities Limited

Date authorised
1 April 2013
Companies House
01116930
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Tower Place West
    Tower Place
    London
    City Of London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +4402073571000

  • Complaints Contact

    1 Tower Place West
    Tower Place
    City of London
    London
    EC3R 5BU
    UNITED KINGDOM
    Phone
    +4402073571000

What this firm is allowed to do

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

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • Investment Advice (no pensions)

    For Commercial, 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, Non-investment insurance contracts, 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), Share, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, 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, Non-investment insurance contracts, 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), Share, Spread Bet, Underwriting capacity of a Lloyd's syndicate, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Insurance Admin

    For Commercial, Non-investment insurance contracts

  • Stockbroking

    For Commercial, 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, Non-investment insurance contracts, 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), Share, Warrant

  • Investment Setup

    For Commercial, 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, Non-investment insurance contracts, 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), Share, Spread Bet, Underwriting capacity of a Lloyd's syndicate, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Adrienne Lim

    IRN AXL01581

    • CF30 Customer (21 Mar 2014 to 9 May 2014)
  • Alan Paul Taylor

    IRN APT01035

    • CF21 Investment Adviser (1 Dec 2001 to 11 Nov 2005)
  • Alistair Birch

    IRN AXB01589

    • CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2003)
  • Amit Pradip Kumar Shah

    IRN APS01166

    • CF30 Customer (18 Feb 2008 to 4 Sep 2009)
  • Andrea Bellone

    IRN AXB01412

    • CF30 Customer (26 Jul 2016 to 19 Sep 2017)
  • Andrew David Tunnicliffe

    IRN ADT01056

    • CF1 Director (18 Feb 2003 to 25 May 2005)
    • CF8 Apportionment and Oversight (18 Feb 2003 to 25 May 2005)
  • Andrew MacLaren Martin

    IRN AMM01109

    • CF8 Apportionment and Oversight (1 Dec 2001 to 20 Dec 2001)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2001)
    • CF1 Director (1 Dec 2001 to 20 Dec 2001)
  • Arthur Clowes

    IRN AXC20549

    • [FCA CF] Significant management (9 Dec 2019 to 29 Nov 2022)
    • CF30 Customer (19 Sep 2019 to 8 Dec 2019)
  • Barry Nigel Partridge

    IRN BXP01214

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (4 Mar 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (4 Mar 2013 to 8 Dec 2019)
  • Barry Simon Law

    IRN BSL01018

    • CF30 Customer (16 Jul 2008 to 3 Jan 2012)
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Recent activity

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

No changes recorded yet.