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

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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, 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

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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, 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.

• Massimo Bianchi

  IRN MXB02177

  • CF30 Customer (8 Apr 2013 to 11 Oct 2019)
• Mihnea Dan Petru Brediceanu

  IRN MDB01150

  • CF30 Customer (8 Apr 2013 to 29 Mar 2018)
• Natalie Yujie Zhao

  IRN NXZ00014

  • [FCA CF] Manager of certification employee (since 13 Feb 2026)
  • [FCA CF] Client dealing (since 31 Mar 2021)
• Neil Paul Cosgrove

  IRN NPC01066

  • CF3 Chief Executive (8 Apr 2013 to 30 Apr 2018)
  • CF30 Customer (8 Apr 2013 to 30 Apr 2018)
  • CF4 Partner (8 Apr 2013 to 30 Apr 2018)
• Nicholas Edward Hayes

  IRN NEH01040

  • CF30 Customer (21 Apr 2017 to 31 Jan 2018)
• Oliver Graham

  IRN OXG20716

  • [FCA CF] Manager of certification employee (since 9 May 2023)
  • [FCA CF] Client dealing (since 3 Jun 2020)
  • CF30 Customer (25 Sep 2019 to 8 Dec 2019)
• Omar Ali

  IRN OXA00158

  • [FCA CF] Client dealing (2 Oct 2024 to 9 Jan 2026)
• Peter Kozak

  IRN PXK01285

  • [FCA CF] Material risk taker (since 23 Jan 2023)
  • [FCA CF] Manager of certification employee (since 31 Mar 2021)
  • [FCA CF] Client dealing (since 3 Jun 2020)
  • CF30 Customer (8 Apr 2013 to 8 Dec 2019)
• Philip Russell Nash

  IRN PXN01113

  • CF30 Customer (8 Apr 2013 to 5 Mar 2018)
• Pushkar Jha

  IRN PXJ01345

  • [FCA CF] Material risk taker (since 13 Mar 2025)
  • [FCA CF] Client dealing (since 13 Mar 2025)
  • [FCA CF] Manager of certification employee (since 13 Mar 2025)
  • [FCA CF] Client dealing (29 Jan 2024 to 16 Jul 2024)

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