Waterfall Asset Management (UK) LLP

• Principal Place of Business

  14 Berkeley Street

  2nd Floor

  London

  W1J 8DX

  UNITED KINGDOM

  Phone

  +4402071909840

  Web

  https://www.waterfallam.com

• Complaints Contact

  14 Berkeley Street

  2nd Floor

  London

  W1J 8DX

  UNITED KINGDOM

  Phone

  +4402071909840

• 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, 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, 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, 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, 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, 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.

• Manages Your Portfolio

  For 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, 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.

• . Waterfall Asset Management Holdings (UK)

  IRN XXW01110

  • CF4 Partner (1 Sep 2016 to 4 Dec 2019)
• Benjamin White

  IRN BXW00351

  • [FCA CF] Client dealing (since 22 Jul 2025)
• Dimitris Paralikis

  IRN DXP00300

  • [FCA CF] Client dealing (since 18 Aug 2025)
  • [FCA CF] Significant management (since 31 Jul 2021)
• Hans Henrik Malmer

  IRN HXM01092

  • SMF1 Chief Executive (9 Dec 2019 to 14 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Mar 2021)
  • SMF27 Partner (9 Dec 2019 to 14 Aug 2020)
  • CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)
  • CF3 Chief Executive (1 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
  • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
• James Alexis Cuby

  IRN JAC01320

  • [FCA CF] Client dealing (since 26 Jul 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jan 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF3 Chief Executive (1 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
  • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
• Jonathan Banks

  IRN JXB04092

  • [FCA CF] Client dealing (since 22 Jul 2025)
• Kenneth Adam Nick

  IRN KXN01331

  • SMF27 Partner (since 24 Jan 2025)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Sep 2016 to 8 Dec 2019)
• Krishin Uttamchandani

  IRN KXU01048

  • [FCA CF] Client dealing (since 17 Jul 2023)
• Michael Stott

  IRN MXS05348

  • [FCA CF] Client dealing (since 22 Jul 2025)
• Patrick Lo

  IRN PXL00196

  • [FCA CF] Significant management (30 Jul 2021 to 31 Mar 2025)

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