UK Matched Principal Broker for sale

New business offer available – UK Matched Principal Broker for sale. Contact the Eternity Law International team to learn more.

 Matched Principal Broker License for sale: details of the transaction

A Matched Principal Broker regulated by the FCA in the UK is now available for sale.

• The year of company registration – 2015.
• Accounts: Banking Barclays UK (both segregated &corporate).
• Software: Current desk CRM, liquidity provider in place.
• Small client base.
• Director can stay after a change in control.

Matched Principal Broker License: permissions

1. Dealing in investments as principal

Type of clients: Eligible Counterparty, Professional, Retail (Investment)

Type of investments includes: Commodity Future, Commodity option and option on commodity future, CFD (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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, and Spread Bet.

Limitations: Under the existing norms and conditions of the license, the broker is unable to:

• hold financial instruments for own account unless it meets the ‘matched principal exemption conditions’ and
• underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis
• 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.

1. Dealing in investments as agent

Type of clients: Eligible Counterparty, Professional, Retail (Investment)

Type of investments includes: Commodity Future, Commodity option and option on commodity future, CFD (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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, and Spread Bet.

1. Arranging (bringing about) deals in investments

Type of clients: Eligible Counterparty, Professional, Retail (Investment)

Type of investments includes: Commodity Future, Commodity option and option on commodity future, CFD (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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, and Spread Bet.

1. Making Arrangements with a View to Transactions in Investments

Type of clients: Eligible Counterparty, Professional, Retail (Investment)

Type of investments includes: Commodity Future, Commodity option and option on commodity future, CFD (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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, and Spread Bet.

1. Arranging safeguarding and administration of assets

Type of clients: Eligible Counterparty, Professional, Retail (Investment)

Type of investments includes: Commodity Future, Commodity option and option on commodity future, CFD (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), 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, and Spread Bet.

1. Agreeing to carry on a regulated activity.

Looking to buy a Principal Broker License? Please contact us for more information.

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