Regulation

The OTCX UK MTF is a trading venue operated by
OTCX Trading Limited

Products

The OTCX UK MTF offers the following products:
‍

Level 1
Level 2
Level 3
C4 Financial Instruments
Interest Rate Derivatives

Interest rate swaps (single currency):

  • Fixed-to-Fixed 'single currency swaps' and futures/forwards on Fixed-to-Fixed 'single currency swaps'
  • Fixed-to-Float 'single currency swaps' and futures/forwards on Fixed-to-Float 'single currency swaps'
  • Float-to-Float 'single currency swaps' and futures/forwards on Float-to-Float 'single currency swap'

Interest Rate Swaps (multi-currency):

  • Fixed-to-Fixed 'multi-currency swaps' or 'cross-currency swaps' and futures/forwards on Fixed-to-Fixed 'multi-currency swaps' or 'cross-currency swaps'
  • Float-to-Float 'multi-currency swaps' or 'cross-currency swaps' and futures/forwards on Float-to-Float 'multi-currency swaps' or 'cross-currency swaps'
  • Fixed-to-Float 'multi-currency swaps' or 'cross-currency swaps' and futures/forwards on Fixed-to-Float 'multi-currency swaps' or 'cross-currency swaps'
  • Overnight Index Swap (OIS) 'single currency swaps' and futures/forwards on Overnight Index Swap (OIS) 'single currency swap'
  • FRA (Forward Rate Agreements)
  • Inflation 'single currency swaps' and futures/forwards on Inflation 'single currency swaps'
  • Swaptions
Other Interest Rate Derivatives
  • Caps/Floors
Equity Derivatives
  • Stock Options
  • Stock index options
C8 Financial Instruments
Credit Derivatives
  • Index credit default swap (CDS)
  • Single name credit default swap (CDS)
  • Total Return Swaps
  • Constant Maturity Swaps
Market Notices

Date

Title

September 5, 2024
CFTC No-Action Letter - Sep 2024
Order handling & Best Execution Policy
Conflict of Interest Policy
Rulebook
Remuneration Policy
Regulatory Profile
Regulator
Status
Date Granted
Link
Financial Conduct Authority
Investment firm with MTF permission
24th July 2023
OTCX Trading Limited (fca.org.uk)
Nova Scotia Securities Commission
International Dealer Exemption in Nova Scotia
30th November 2023
https://info.securities-administrators.ca/nrsmobile/nrssearch.aspx
Australian Securities and Investment Commission
Overseas Australian Market Licence
10th January 2024
Licensed overseas financial markets operating in Australia | ASIC
Financial market infrastructures and foreign market participants
Recognition of foreign trading venues under Article 41 FMIA  
18th January 2024
Financial market infrastructures and foreign market participants | FINMA
Ontario Securities Commission
Exemption from Recognition as an Exchange  
13th September 2024
OTCX Trading Limited – s. 147 | OSC
CFTC
Authorised MTF covered by 24-11 No action letter
28th August 2024
Complaints Procedure
OTCX aims to deliver you the highest standards of service in a fair, clear, and transparent manner. If you have a complaint about any of our services, we encourage you to let us know as soon as possible by following the process below.

When we receive your complaint, we will send an acknowledgement and will keep you informed about the progress of the complaint before communicating the final response.

Please reach out to us via one of the following channels:
‍
Email: Compliance@otcxtrading.com
‍Postal address:
OTCX 49 Queen Victoria St, London EC4N 4SA, United Kingdom


In the description of the complaint please include the date of the issue, service and/or product impacted, trade references, sales representative involved and any other supporting details.

Contact Us

Sales

sales@otcxtrading.com

Operations

tradingoperations@otcxtrading.com

Compliance

compliance@otcxtrading.com
© 2023 OTCX. All rights reserved. Privacy policy.
OTCX Trading Limited (“OTCX”) is authorised and regulated by the Financial Conduct Authority (“FCA”).
OTCX is registered in England & Wales, company number 09100686 with its registered office at 49 Queen Victoria Street, London, EC4N 4SA.
In the United States, any communications or services in respect of ‘securities’ (as that term is defined in Section 3(a)(10) of the U.S. Securities Exchange Act of 1934, as amended (“Exchange Act”)) are not directed at, or intended for use by, any persons or entities located in the United States, except for broker-dealers registered with the U.S. Securities and Exchange Commission (“SEC”) pursuant to Section 15(a) of the Exchange Act, or ‘U.S. Institutional Investors’ (“USII”) and ‘Major U.S. Institutional Investors’ (“MUSII”), as these terms are defined for purposes of SEC Rule 15a-6 (“Permitted US Persons”). Any communications relating to, or introductions to transactions in, securities involving Permitted U.S. Persons, other than SEC-registered broker-dealers, will be chaperoned through Global Alliance Securities, LLC, located at 2464 Darts Cove Way, Charleston (Mt. Pleasant), South Carolina 29466, a broker-dealer registered with the SEC, and a member of the Financial Industry Regulatory Authority, Inc. (“FINRA”), FINRA CRD#:167164/SEC#8-69244, in accordance with the requirements of SEC Rule 15a-6, www.globalalliancesecurities.com.