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

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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.

• 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

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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

  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.

• Stefano Mazzoli

  IRN SXM03931

  • [FCA CF] Material risk taker (31 Mar 2021 to 9 Dec 2022)
  • CF4 Partner (5 May 2016 to 6 Dec 2019)
• Stephen Millea

  IRN SXM21253

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (6 Nov 2019 to 8 Dec 2019)
• Stuart Keith

  IRN SXK01481

  • SMF27 Partner (since 12 Jan 2026)
• Thomas Andrew Jaggers

  IRN TAJ01031

  • [FCA CF] Material risk taker (17 Mar 2020 to 9 Dec 2022)
  • CF4 Partner (18 Feb 2014 to 6 Dec 2019)
• Thomas Latter

  IRN TXL08503

  • [FCA CF] Client dealing (since 6 Nov 2023)
  • [FCA CF] Material risk taker (since 6 Nov 2023)
• Thomas William Ware

  IRN TWW01025

  • CF4 Partner (23 Dec 2011 to 31 Dec 2018)
  • CF10 Compliance Oversight (15 Nov 2011 to 31 Dec 2018)
  • CF30 Customer (15 Nov 2011 to 15 Nov 2011)
  • CF11 Money Laundering Reporting (15 Nov 2011 to 31 Dec 2018)
• Todd Molz

  IRN TXM24917

  • SMF27 Partner (25 Feb 2020 to 1 Jul 2024)
• Victoria Catt

  IRN VXC17278

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (3 Oct 2019 to 8 Dec 2019)
• Vuk Nikcevic

  IRN VXN01025

  • [FCA CF] Client dealing (17 Mar 2020 to 28 Apr 2023)
  • CF30 Customer (14 Mar 2019 to 8 Dec 2019)
  • CF4 Partner (11 May 2016 to 6 Dec 2019)

No changes recorded yet.