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.

• Mark James Hewett

  IRN MJH01472

  • Responsible for Insurance Mediation (13 Mar 2009 to 1 Apr 2010)
  • CF30 Customer (19 Dec 2007 to 1 Apr 2010)
  • CF13 Finance (19 Jul 2007 to 12 Oct 2007)
  • CF1 Director (9 May 2007 to 1 Apr 2010)
• Martin Sanchez

  IRN MXS02743

  • CF30 Customer (31 Aug 2010 to 18 Sep 2019)
• Maxim David Stephen Steward

  IRN MDS01086

  • CF21 Investment Adviser (1 Dec 2001 to 15 Apr 2002)
• Michael Harding

  IRN MXH02061

  • CF30 Customer (3 Dec 2008 to 26 Jul 2013)
  • CF1 Director (3 Dec 2008 to 23 Oct 2019)
• Michael Wynne-Jones

  IRN MXW01286

  • CF21 Investment Adviser (1 Dec 2001 to 6 Jun 2003)
• Nicholas Charles Frankland

  IRN NCF01018

  • CF1 Director (19 Jul 2007 to 21 Jan 2009)
  • CF8 Apportionment and Oversight (19 Jul 2007 to 31 Oct 2007)
• Nicholas James Doe

  IRN NJD01038

  • CF11 Money Laundering Reporting (30 Apr 2007 to 29 Jul 2011)
  • CF10 Compliance Oversight (30 Apr 2007 to 29 Jul 2011)
• Nicholas Ramakrishna Parmar

  IRN NXP01127

  • CF21 Investment Adviser (1 Dec 2001 to 7 Mar 2005)
• Paul Gregory Lumbis

  IRN PGL01034

  • CF30 Customer (1 Nov 2007 to 21 Apr 2008)
  • CF1 Director (25 Sep 2007 to 21 Apr 2008)
  • CF23 Corporate Finance Adviser (25 Sep 2007 to 31 Oct 2007)
• Paul Michael Rayner

  IRN PMR01086

  • CF30 Customer (24 Jan 2013 to 23 Mar 2018)

No changes recorded yet.