Otus Capital Management Limited

• Principal Place of Business

  Otus Capital Management

  29 Queen Annes Gate

  London

  Westminster

  SW1H 9BU

  UNITED KINGDOM

  Phone

  +4402072270000

  Web

  https://www.otuscapital.com

• Complaints Contact

  Otus Capital Management

  29 Queen Annes Gate

  London

  Westminster

  SW1H 9BU

  UNITED KINGDOM

  Phone

  +442072270000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• 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, 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, Unit, Warrant

  Show 5 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to repurchase agreement activities and in carrying on these activities to the securities, "government and public security", "certificate representing certain security", and "right to or interest in investments - security", (when the latter is associated with these specified investments).

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments, "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Kerry Barlow

  IRN KXB02074

  • [FCA CF] Client dealing (31 Mar 2021 to 30 Jun 2023)
  • CF30 Customer (18 Jan 2017 to 8 Dec 2019)
• Marc Gilly

  IRN MXG01222

  • Director of firm who is not a certification employee or a SMF manager (since 28 May 2021)
• Michael John Broadbent

  IRN MJB01472

  • CF30 Customer (1 Nov 2007 to 18 Nov 2016)
  • CF26 Customer Trading (10 Dec 2003 to 31 Oct 2007)
• Paul Francis Hale

  IRN PFH01020

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (17 May 2019 to 8 Dec 2019)
  • CF30 Customer (24 Jun 2010 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
• Peter Morris

  IRN PXM00674

  • [FCA CF] Client dealing (since 31 Mar 2024)
• Richard Edward Colyer

  IRN REC01056

  • SMF3 Executive Director (since 17 Feb 2025)
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (4 Jul 2005 to 31 Oct 2007)
• Roberto Chiarion Casoni

  IRN RXC01255

  • [FCA CF] Client dealing (31 Mar 2021 to 9 Apr 2026)
  • CF1 Director (7 Aug 2008 to 31 Oct 2009)
  • CF30 Customer (16 Jan 2008 to 8 Dec 2019)
• Tamsin Elinor Quayle

  IRN TEQ01001

  • [FCA CF] Client dealing (since 29 Mar 2021)
• William Hamish Charles Pendrill Edsell

  IRN WHE01005

  • SMF3 Executive Director (since 30 Sep 2022)
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF30 Customer (18 Sep 2015 to 8 Dec 2019)

No changes recorded yet.