Financial Regulation
ICAP Group
ICAP plc is the holding company of ICAP Group.
The majority of ICAP Group operating companies are licensed by financial services regulators in the jurisdictions they operate in around the world.
ICAP companies are licensed and regulated by the following authorities:
Europe
UK Financial Services Authority
Danish Finanstilsynet
German Bundesanstalt für Finanzdienstleistungsaufsicht
Polish Financial Services Commission
Africa
Reserve Bank of South Africa
Bond Exchange of South Africa
Americas
US Securities and Exchange Commission
New York Stock Exchange
US National Futures Association
National Association of Securities Dealers
Asia Pacific
Australian Securities and Exchange Commission
Hong Kong Monetary Authority
Bank Negara Malaysia and Malaysian Securities Commission
Bank Indonesia
Korean Ministry of Finance and Economy
Japanese Financial Services Agency
China Banking Regulatory Commission
Foreign Exchange Dealers Association of India and Securities and Exchange Board of India
Monetary Authority of Singapore
Bahrain Monetary Agency
ICAP Compliance Contacts:
Europe, Middle East and Africa
General Counsel, Europe
ICAP
2 Broadgate
London
EC2M 7UR
United Kingdom
+44 (0)20 7000 5000
Americas
General Counsel, Americas
ICAP
Harborside Financial Center
1100 Plaza Five
12th Floor Jersey City
New Jersey 07311 4996
United States of America
+1 212 341 9900
Asia Pacific
General Counsel, Asia Pacific
ICAP (Hong Kong) Limited
12th Floor, Chater House
8 Connaught Road
Central, Hong Kong
China
+ 852 2532 0888
ICAP Group companies regulated in the EU
The following firms are regulated by various EU regulators. These details might be useful to those wishing to carry out ‘Know Your Customer’ checks upon ICAP firms based in the EU only. For more information or assistance please contact newaccounts@icap.com
This information also satisfies certain requirements under FSA Rules regarding the European Directive.
ICAP GROUP COMPANY
| ADDRESS
UK FINANCIAL SERVICES AUTHORITY
REGISTRATION NUMBER ONLY UK VAT No. ONLY
| ||
|---|---|---|---|
| ICAP Electronic Broking Limited | 2 Broadgate London EC2M 7UR United Kingdom |
191757 | GB 672 5119 35 |
| ICAP Futures LLC (London Branch of US entity) | 2 Broadgate London EC2M 7UR United Kingdom |
221240 | GB 672 5119 35 |
| ICAP Hyde Derivatives Limited | 2 Broadgate London EC2M 7UR United Kingdom |
175742 | GB 672 5119 35 |
| ICAP WCLK Limited | 2 Broadgate London EC2M 7UR United Kingdom |
124341 | GB 672 5119 35 |
| ICAP Securities USA LLC (London Branch of US entity) | 2 Broadgate London EC2M 7UR United Kingdom |
178855 | GB 672 5119 35 |
| ICAP Securities Limited (including Divisions ICAP Equities and ICAP Futures) | 2 Broadgate London EC2M 7UR United Kingdom |
124520 | GB 672 5119 35 |
| ICAP Energy Limited | 2 Broadgate London EC2M 7UR United Kingdom |
161196 | GB 672 5119 35 |
| ICAP Europe Limited | 2 Broadgate London EC2M 7UR United Kingdom |
188984 | GB 672 5119 35 |
| T&M Securities Limited | 2 Broadgate London EC2M 7UR United Kingdom |
161197 | GB 672 5119 35 |
| ICAP Poland Sp z.o.o | Sienna Center 7th Floor Ul Sienna 73, 00-833 Warsaw Poland |
N/A | |
| ICAP Scandinavia A/S | Rentemestervej 14, DK-2400 Copenhagen NV Denmark |
N/A | |
| ICAP Securities Deutschland Gmbh/ ICAP Money Markets Deutschland Gmbh/ Euro Spex Gmbh | Stephanstrasse 3 60313 Frankfurt am Main Germany | N/A |
The Financial Services Authority registration numbers given above are in the public domain and can easily be verified by using FSA’s register at: http://www.fsa.gov.uk/Pages/register/
ICAP Anti-money Laundering/financial crime Policy Statement
ICAP is committed to the prevention of financial crime such as money laundering and the funding of terrorist activity. Through risk-based internal procedures, policies, systems and controls, ICAP strives to ensure that high standards of crime prevention and awareness are maintained by its management and staff around the globe.
Electronic broking data
ICAP operates a number of ‘Multilateral trading facilities’ (alternative trading systems). Under relevant rules, and for some of our client-facing facilities, regulations require us to provide details of transactions for certain instruments conducted by UK/FSA regulated firms. Click here for details.