D. E. Shaw & Co. (London) LLP

• Principal Place of Business

  55 Baker Street

  Seventh Floor

  London

  W1U 8EW

  UNITED KINGDOM

  Phone

  +4402074094300

  Web

  http://www.deshaw.com

• Complaints Contact

  55 Baker Street

  Seventh Floor

  London

  W1U 8EW

  UNITED KINGDOM

  Phone

  +4402074094420

• 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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.

• 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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, Life Policy, 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

  Show 1 limitation Hide limitations

  • · 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.

• Jeremy Louis Klaperman

  IRN JLK01062

  • CF30 Customer (20 Jan 2016 to 5 Jul 2018)
• Joshua Franklin Swatland

  IRN JFS01087

  • CF30 Customer (8 Apr 2013 to 31 Dec 2017)
• Julius Ralph Gaudio

  IRN JRG01124

  • SMF9 Chair of the Governing Body (12 May 2020 to 31 Dec 2023)
  • SMF27 Partner (9 Dec 2019 to 31 Dec 2023)
  • CF4 Partner (8 Apr 2013 to 8 Dec 2019)
  • CF30 Customer (8 Apr 2013 to 8 Dec 2019)
• Kavya Saxena

  IRN KXS42178

  • [FCA CF] Client dealing (31 Mar 2021 to 9 Sep 2022)
• Kevin Robert Krist

  IRN KRK01011

  • SMF27 Partner (since 8 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (8 Apr 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Apr 2013 to 8 Dec 2019)
• Lancelot Berlemont

  IRN LXB00801

  • [FCA CF] Client dealing (since 16 Jun 2025)
• Lasse Holboell Westh Nielsen

  IRN LHN00007

  • [FCA CF] Client dealing (31 Mar 2021 to 30 Apr 2025)
• Maia Searle

  IRN MXS05414

  • [FCA CF] Client dealing (since 15 Oct 2025)
• Marianna Fassinotti

  IRN MXF00205

  • [FCA CF] Manager of certification employee (31 Mar 2021 to 31 Mar 2022)
  • [FCA CF] Client dealing (31 Mar 2021 to 31 Mar 2022)
• Martin Minarovic

  IRN MXM02846

  • [FCA CF] Client dealing (3 Jun 2020 to 17 Aug 2022)
  • CF30 Customer (11 Nov 2013 to 8 Dec 2019)

No changes recorded yet.