Oaktree Capital Management (UK) LLP

• Principal Place of Business

  10 Bressenden Place

  London

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +442072014600

  Web

  https://www.oaktreecapital.com

• Complaints Contact

  10 Bressenden Place

  London

  SW1E 5DH

  UNITED KINGDOM

  Phone

  +442072014600

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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

  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, 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, 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, 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, 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, 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.

• Richard Daniel Robinson

  IRN RDR01016

  • CF4 Partner (15 Nov 2011 to 2 Mar 2015)
  • CF30 Customer (15 Nov 2011 to 2 Mar 2015)
• Richard Young

  IRN RXY11646

  • CF4 Partner (1 Mar 2019 to 6 Dec 2019)
• Robert John Charles Self

  IRN RJS01368

  • CF4 Partner (13 Apr 2016 to 6 Dec 2019)
• Roger Iliffe

  IRN RXI01084

  • CF4 Partner (16 Nov 2011 to 28 Jun 2013)
• Samuele Cappelletti

  IRN SXC01834

  • CF4 Partner (20 Apr 2017 to 8 Sep 2019)
• Sanjay Rathod

  IRN SXR02128

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (5 Mar 2015 to 8 Dec 2019)
• Savan Himatlal Shah

  IRN SHS01079

  • [FCA CF] Client dealing (since 3 Dec 2025)
  • [FCA CF] Material risk taker (since 3 Dec 2025)
  • CF30 Customer (2 Sep 2014 to 8 Dec 2019)
  • CF4 Partner (13 Feb 2014 to 6 Dec 2019)
• Sebastian Federico Eiseler

  IRN SFE01018

  • CF4 Partner (19 Jun 2015 to 12 May 2017)
• Shannon Ward

  IRN SXW01895

  • CF4 Partner (11 May 2012 to 13 Jan 2017)
  • CF30 Customer (24 Feb 2012 to 13 Jan 2017)
• Sohko Fujimoto

  IRN SXF01599

  • [FCA CF] Material risk taker (9 Jun 2023 to 22 Nov 2023)
  • [FCA CF] Client dealing (17 Mar 2020 to 22 Nov 2023)
  • CF30 Customer (9 Nov 2017 to 8 Dec 2019)

No changes recorded yet.