Trade Capital UK (TCUK) Ltd

Limits on the record

• Voluntary Application for Imposition of Requirements

  From: Trade Capital UK (TCUK) Ltd (FRN 738538), 25 Wilton Road London Westminster,SW1V 1LW To: The Financial Conduct Authority, 12 Endeavour Square, London, E20 1JN Trade Capital UK (TCUK) Ltd (the “Firm”) hereby applies to the Financial Conduct Authority (“the Authority”) under section 55L(5)(a) of the Financial Services and Markets Act 2000 (“the Act”) for the imposition by the Authority of requirements on the Firm’s Part 4A permission as set out in the terms below (“the Requirements”). Client Notification 1. The Firm must by 15:00 BST on Monday 6 July 2026 notify in writing all customers of the imposition and effect of these Requirement(s). 2. By 15:00 BST on Monday 6 July 2026, the Firm must publish in a prominent place on its website http://www.tradecapitaluk.com/ a notice setting out the terms and effects of these Requirement(s). Restriction on acceptance of new client monies 3. Once this VREQ application is signed by the Firm, the Firm must not accept any new client monies. Return of segregated client monies 4. The Firm must use best endeavours to return segregated client monies held for or on behalf of clients in accordance with the Client Assets regime. 5. The Firm must notify the Authority of the amount of any residual segregated client money balances it has been unable to return at 15:00 BST on Wednesday 15 July 2026, doing so by 17.00 BST on Wednesday 15 July 2026. Voluntary Application to Vary Permission 6. The Firm will, by 15:00 BST on Thursday 16 July 2026, apply to the Authority pursuant to section 55H(2)(b) of the Act, for the Authority to vary its Part 4A permission to remove the following regulated activities from the Firm’s Part 4A permission: Investments a. Arranging (bringing about) deals in investments b. Dealing in investments as agent c. Dealing in investments as principal d. Making arrangements with a view to transactions in investments e. Safeguarding and administration of assets Secure records 7. The Firm must secure and preserve all records and/or information (physical or electronic) relating to the Firm in their original form, or in a copy proved to be identical to the source material, such that they can be provided to the Authority, or to a person named by the Authority, promptly on request. Publication 8. The Authority will publish such information about the Requirements as it considers appropriate, including in the Firm’s entry on the Financial Services Register. Effective date 9. The Requirements in this application are to take immediate effect on their acceptance by the Authority and notification of such to the Firm by email (the “Effective Date”). Definitions 10. Where relevant for interpreting this application, the terms used have the same meaning as in the Glossary of the Authority Handbook. 11. Client Assets regime means the rules and guidance as in the CASS module of the Authority Handbook.

• No referrals to non-EEA entities

  The firm must not refer a client to a non-EEA entity for an investment service, and must not refer a client to any person with a view to them being passed to a non-EEA entity for an investment service. In this requirement non EEA entity means an entity that has its registered office (or, if it has no registered office, its head office) in a non- EEA state. (investment service) has the meaning set out in the FCA Handbook Glossary as amended from time to time, and includes a service which is provided outside of the EEA.