MMC Securities Limited

• 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

• 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

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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 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

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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.

• 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 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.

• David Paul Rothstein

  IRN DPR01075

  • CF30 Customer (4 Jul 2008 to 3 Jan 2012)
• David Pedlow

  IRN DXP02282

  • SMF3 Executive Director (since 29 Jul 2020)
• David Priebe

  IRN DXP01454

  • CF1 Director (6 Dec 2005 to 1 Dec 2011)
  • CF8 Apportionment and Oversight (6 Dec 2005 to 31 Oct 2007)
• David Roger Rushworth

  IRN DRR01079

  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
• David Ross Godwin

  IRN DRG01101

  • CF28 Systems and controls (6 May 2008 to 11 Feb 2013)
• David Sean Flandro

  IRN DSF01033

  • CF30 Customer (5 Jul 2010 to 25 Mar 2014)
• Dennis James Burns

  IRN DJB01322

  • CF13 Finance (10 Jan 2002 to 1 Apr 2006)
  • CF1 Director (10 Jan 2002 to 1 Apr 2006)
• Desmond Lee Potter

  IRN DLP01038

  • SMF1 Chief Executive (9 Dec 2019 to 30 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2021)
  • CF3 Chief Executive (12 Jun 2013 to 8 Dec 2019)
  • CF30 Customer (16 Dec 2011 to 8 Dec 2019)
  • CF1 Director (16 Dec 2011 to 8 Dec 2019)
• Emmanuel Dubreuil

  IRN EXD01314

  • CF30 Customer (23 Mar 2012 to 9 May 2014)
• Eric Paire

  IRN EXP01202

  • Responsible for Insurance Mediation (8 Jul 2010 to 2 Oct 2014)
  • CF1 Director (8 Jul 2010 to 19 Sep 2017)
  • CF30 Customer (8 Jul 2010 to 2 Oct 2014)

No changes recorded yet.