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
- 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.
- 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.
- 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.
- 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.
- 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.
- Agreeing to carry on a regulated activity.
Looking to buy a Principal Broker License? Please contact us for more information.
E-mail: office@eternitylaw.com
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The information presented in this section is provided for general informational and B2B purposes only. Licensed or regulated companies listed here may be offered for sale by their respective owners or other third parties.
The Company does not sell, issue or provide licences, authorisations, registrations or the underlying regulated services. Any existing licence, registration, authorisation or regulatory status remains subject to applicable law and, where required, regulatory approval, notification, change-of-control, re-registration or other procedures imposed by the competent authority.
The Company acts solely as an independent provider of legal, consultancy and transaction support services and may assist with due diligence, transaction structuring, documentation, ownership transfer, re-registration and related legal or regulatory support.
No listing constitutes financial, investment or brokerage advice, or a guarantee that any licence or regulatory status may be transferred, maintained or used by a prospective purchaser.