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

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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, 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.

• 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

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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, 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.

• Raghava Simhan Kannan

  IRN RXK00397

  • [FCA CF] Client dealing (since 13 Apr 2026)
• Rhys Grant

  IRN RXG01656

  • [FCA CF] Material risk taker (23 Jan 2023 to 30 Jun 2023)
  • [FCA CF] Manager of certification employee (3 Jun 2020 to 26 Mar 2021)
  • [FCA CF] Client dealing (3 Jun 2020 to 17 Jan 2025)
  • CF30 Customer (1 Apr 2016 to 8 Dec 2019)
• Saachin Sivakumar

  IRN SXS00962

  • [FCA CF] Client dealing (since 9 May 2023)
• Shashi Kumar Hazra

  IRN SXH00498

  • [FCA CF] Client dealing (31 Mar 2021 to 2 Jul 2023)
• Sorin-Mihai Floti

  IRN SXF01731

  • CF30 Customer (1 Oct 2015 to 3 Mar 2016)
• Stephane Michel

  IRN SXM01476

  • CF30 Customer (12 Mar 2014 to 30 Nov 2015)
• Stephen John Lucas

  IRN SJL01294

  • [FCA CF] Client dealing (since 15 Nov 2024)
• Stephen Rossi

  IRN SXR01722

  • CF28 Systems and controls (8 Apr 2013 to 31 Dec 2016)
• Surendran Pathmanathan

  IRN SXP01565

  • [FCA CF] Material risk taker (23 Jan 2023 to 19 Mar 2024)
  • [FCA CF] Client dealing (3 Jun 2020 to 19 Mar 2024)
  • [FCA CF] Manager of certification employee (3 Jun 2020 to 19 Mar 2024)
  • CF30 Customer (24 Jun 2016 to 8 Dec 2019)
• Tara Robb

  IRN TXG38591

  • [FCA CF] Client dealing (since 12 Jul 2024)

No changes recorded yet.