Oaktree Capital Management (UK) LLP

Date authorised
1 April 2013
Companies House
OC363917
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Gerlinde Thompson

    IRN GXT01577

    • CF4 Partner (21 Apr 2017 to 6 Dec 2019)
  • Gregor Gruber

    IRN GXG01107

    • CF30 Customer (16 May 2013 to 7 Apr 2016)
    • CF4 Partner (16 May 2013 to 7 Apr 2016)
  • Gregory Wilfrey Krens

    IRN GWK01025

    • CF4 Partner (15 Nov 2011 to 31 Dec 2011)
  • Guillaume Bayol

    IRN GXB02301

    • [FCA CF] Material risk taker (17 Mar 2020 to 31 Jan 2025)
    • CF4 Partner (21 Apr 2017 to 6 Dec 2019)
  • Henry Edward Frederick Smith

    IRN HES01027

    • CF4 Partner (26 Apr 2017 to 11 Jun 2018)
  • Howard Stanley Marks

    IRN HSM01012

    • CF4 Partner (15 Nov 2011 to 31 Mar 2018)
  • James Nicholas Turner

    IRN JNT01016

    • CF4 Partner (15 Nov 2011 to 12 Apr 2018)
    • CF30 Customer (15 Nov 2011 to 12 Apr 2018)
  • James Van Steenkiste

    IRN JXV01249

    • SMF27 Partner (since 3 Apr 2023)
    • [FCA CF] Manager of certification employee (17 Mar 2020 to 23 May 2023)
    • [FCA CF] Significant management (17 Mar 2020 to 23 May 2023)
    • CF4 Partner (5 Jan 2015 to 6 Dec 2019)
  • Jason Pae

    IRN JXP02641

    • CF11 Money Laundering Reporting (27 Feb 2019 to 23 Apr 2019)
    • CF10 Compliance Oversight (27 Feb 2019 to 23 Apr 2019)
  • Jay Daryanani

    IRN JXD02131

    • CF30 Customer (21 Jan 2015 to 8 Dec 2019)
    • CF4 Partner (24 Feb 2014 to 6 Dec 2019)
Show more

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.