Ellington Management Group (UK) LLP

• Principal Place of Business

  68 King William Street

  London

  EC4N 7HR

  UNITED KINGDOM

  Phone

  +442035971611

  Web

  https://www.ellington.com

• Complaints Contact

  68 King William Street

  London

  EC4N 7HR

  UNITED KINGDOM

  Phone

  +442035971611

• 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.

• 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.

• 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 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

  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.

• . Ellington (UK) Limited(UK)

  IRN XXE01098

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (12 Dec 2014 to 8 Dec 2019)
• . SPV GP LLC

  IRN XXS01253

  • CF4 Partner (12 Dec 2014 to 4 Dec 2019)
• Adrien Pierre Regis Godet

  IRN APG01126

  • [FCA CF] Client dealing (1 Nov 2020 to 11 Jul 2022)
  • CF30 Customer (6 Dec 2019 to 8 Dec 2019)
• Daniel Turner

  IRN DJT01198

  • [FCA CF] Client dealing (since 1 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (1 Nov 2020 to 31 Dec 2021)
  • CF4 Partner (12 Dec 2014 to 8 Dec 2019)
  • CF30 Customer (12 Dec 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Dec 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Dec 2014 to 8 Dec 2019)
• Daniele Calio

  IRN DXC25325

  • CF30 Customer (4 Dec 2019 to 8 Dec 2019)
• Eleri Kate Rhidian

  IRN EKR01007

  • [FCA CF] Client dealing (since 20 Sep 2022)
• Ellie Atkinson

  IRN EXA00102

  • [FCA CF] Client dealing (since 11 Jul 2022)
  • [FCA CF] Material risk taker (1 Jun 2021 to 31 Dec 2021)
• Hekeani Marie Edith Caroline Mathieu

  IRN HMM01081

  • CF30 Customer (18 Dec 2018 to 8 Dec 2019)
• Ian Nichols

  IRN IXN01093

  • [FCA CF] Client dealing (since 1 Nov 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (1 Nov 2020 to 31 Dec 2021)
  • CF30 Customer (12 Dec 2014 to 8 Dec 2019)
  • CF4 Partner (12 Dec 2014 to 8 Dec 2019)
• Jonas Constantin Frantz

  IRN JCF01050

  • [FCA CF] Client dealing (1 Nov 2020 to 11 Jul 2022)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)

No changes recorded yet.