Ares Management Limited

• Principal Place of Business

  Ares Management Ltd

  10 New Burlington Street

  London

  Westminster

  W1S 3BE

  UNITED KINGDOM

  Phone

  +442074346400

  Web

  https://www.aresmgmt.com

• Complaints Contact

  Ares Management Ltd

  10 New Burlington Street

  London

  Westminster

  W1S 3BE

  UNITED KINGDOM

  Phone

  +442074346400

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Share, Spread Bet, Unit, Warrant

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  • · 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.

• Michael Thomas

  IRN MXT01743

  • [FCA CF] Material risk taker (31 Mar 2024 to 4 Apr 2025)
• Miles Barrington Alexander

  IRN MXA01246

  • CF30 Customer (1 Nov 2007 to 18 Apr 2008)
  • CF10 Compliance Oversight (27 Nov 2006 to 19 Sep 2007)
  • CF8 Apportionment and Oversight (27 Nov 2006 to 31 Oct 2007)
  • CF3 Chief Executive (27 Nov 2006 to 18 Apr 2008)
  • CF27 Investment Management (27 Nov 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (27 Nov 2006 to 19 Sep 2007)
  • CF1 Director (27 Nov 2006 to 18 Apr 2008)
• Miriam Goldsmith Krieger

  IRN MXK12109

  • SMF3 Executive Director (20 Dec 2019 to 1 Apr 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Feb 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Feb 2024)
  • CF11 Money Laundering Reporting (20 May 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 May 2019 to 8 Dec 2019)
• Morten Tullin

  IRN MXT00451

  • [FCA CF] Client dealing (22 Nov 2022 to 15 Oct 2024)
• Narendra Prabhashwari Bandaranayake

  IRN NPB01098

  • CF30 Customer (11 Jan 2012 to 23 Feb 2016)
• Naseem Sera Sagati Aghili

  IRN NXS00041

  • SMF3 Executive Director (8 Jan 2021 to 11 Jan 2023)
• Nathalie Olivia Dantes

  IRN NOD00002

  • CF30 Customer (21 Nov 2011 to 4 Jul 2012)
• Neil Hoyne

  IRN NXH01735

  • [FCA CF] Client dealing (since 31 Mar 2024)
• Nicholas Robert Cook

  IRN NXC19747

  • [FCA CF] Client dealing (since 9 Mar 2026)
• Nicholas Votier

  IRN NXV01199

  • [FCA CF] Client dealing (since 31 Mar 2024)

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