Wellington Management International Limited

• Principal Place of Business

  Wellington Management International Ltd

  80 Victoria Street

  London

  Westminster

  SW1E 5JL

  UNITED KINGDOM

  Phone

  +4402071266000

  Web

  https://www.wellington.com

• Complaints Contact

  Wellington Management International Ltd

  80 Victoria Street

  London

  Westminster

  SW1E 5JL

  UNITED KINGDOM

  Phone

  +4402071266000

• 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

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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 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.

• Jawan Parker

  IRN JXP00151

  • Director of firm who is not a certification employee or a SMF manager (since 20 Sep 2022)
  • [FCA CF] Material risk taker (20 Sep 2022 to 21 Sep 2022)
  • SMF3 Executive Director (22 Jan 2021 to 20 Sep 2022)
• Jayant Bhutani

  IRN JXB01494

  • CF30 Customer (15 Jan 2008 to 3 Jul 2009)
• Jean Marie Hynes

  IRN JMH01287

  • CF1 Director (29 Jan 2010 to 16 Jun 2016)
  • CF30 Customer (1 Nov 2007 to 8 Aug 2008)
  • CF27 Investment Management (17 Jul 2007 to 31 Oct 2007)
• Jean Polgar

  IRN JXP01466

  • CF22 Investment Adviser (Trainee) (20 Feb 2003 to 1 Nov 2004)
• Jed Maynard

  IRN JXM04024

  • [FCA CF] Client dealing (since 8 Apr 2024)
• Jeff Saul

  IRN JHS01072

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (26 Sep 2007 to 31 Oct 2007)
• Jeffrey Herold

  IRN JXH00775

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2021)
• Jennifer Martin

  IRN JXM09735

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (28 Dec 2018 to 8 Dec 2019)
• Jennifer Nye

  IRN JXN00163

  • SMF16 Compliance Oversight (since 19 Mar 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Oct 2024 to 31 Dec 2025)
• Jens Ditlev Larsen

  IRN JDL01097

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (3 Dec 2014 to 8 Dec 2019)

No changes recorded yet.