EN#0398 – UK FCA-authorized introducing brokerage, retail CFD permissions, for sale

A UK company authorized and regulated by the Financial Conduct Authority (FCA) as an investment firm is available for acquisition. The firm operates as an introducing broker, arranging transactions for its clients with a regulated executing counterparty. It suits an acquirer seeking a UK regulated presence for client acquisition and distribution in leveraged products without the capital burden of a principal-dealing license. 

Key Highlights:

• Regulatory Status: Authorized and regulated by the FCA in the United Kingdom. It is an exempt CAD firm limited to receiving and transmitting orders, and it does not deal as principal or hold client money. This keeps its regulatory capital requirements and prudential reporting obligations low.  
• Permissions: Arranging (bringing about) deals in investments and making arrangements with a view to transactions in investments. 
• Client Categories: Retail, professional and eligible counterparty clients.  
• Products: Contracts for difference, spread bets, rolling spot forex contracts, futures, options, commodity futures and options, shares, debentures, government securities, warrants and units.  
• Growth Potential: A new owner could expand the firm’s permissions through a variation of permission, subject to FCA approval, or use it as the UK distribution arm of a group that has execution capability elsewhere. 

This UK FCA-authorized introducing brokerage represents an acquisition opportunity for buyers seeking a regulated UK footprint, retail CFD-related permissions and an introducing-broker model without client-money or principal-dealing complexity. Its FCA authorization, broad product scope, and distribution-focused structure may provide a practical foundation for a purchaser seeking to establish or expand its UK-regulated presence.

For further information on the sale of this UK FCA-authorized introducing brokerage, please contact our Mergers & Acquisitions team at info@salvusfunds.com. More entities for sale can be found within our Entity Acquisition or Sale page.

SALVUS Funds’ teams can be engaged for guidance on new license authorizations for investment, payment or crypto-asset services, ongoing regulatory compliance consultancy for regulated entities, and support in acquiring ready-made regulated or registered entities. 

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