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.

  • Jean Joseph Pierre Georges Rollier

    IRN JJR01085

    • CF4 Partner (15 Nov 2011 to 20 Sep 2019)
  • Jeffrey Kevin Chalmers

    IRN JKC01052

    • CF4 Partner (12 May 2017 to 6 Dec 2019)
  • Jennifer Natasha Marques

    IRN JXM13330

    • SMF27 Partner (9 Dec 2019 to 6 Jan 2025)
    • CF4 Partner (20 Jun 2019 to 8 Dec 2019)
  • Jens Christian Bauer

    IRN JCB01317

    • [FCA CF] Material risk taker (since 1 Jul 2025)
  • Jesse Huff

    IRN JXH02573

    • CF30 Customer (12 Feb 2017 to 8 Dec 2019)
    • CF4 Partner (23 Feb 2015 to 6 Dec 2019)
  • Jillian Lutzy Regan

    IRN JXL01956

    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jul 2019 to 8 Dec 2019)
    • CF4 Partner (15 Jul 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (15 Jul 2019 to 8 Dec 2019)
  • Jonas Mitzschke

    IRN JXM03757

    • CF4 Partner (5 May 2016 to 11 Jun 2018)
  • Joseph Myrtetus

    IRN JXM03084

    • CF4 Partner (11 Jun 2012 to 31 Oct 2016)
  • Justin Andrew Bickle

    IRN JAB01411

    • CF4 Partner (15 Nov 2011 to 1 Nov 2017)
    • CF30 Customer (15 Nov 2011 to 1 Nov 2017)
  • KATHARINE ELIZABETH MCLEAN

    IRN KEM01076

    • CF4 Partner (13 Apr 2016 to 9 May 2017)
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Recent activity

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

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