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

  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.

• Mark Midgley

  IRN MAM01478

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Oct 2016 to 8 Dec 2019)
• Mark O'Brien

  IRN MXO00135

  • SMF3 Executive Director (since 15 Aug 2024)
  • SMF16 Compliance Oversight (7 Dec 2021 to 19 Mar 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Sep 2021)
• Mark Woodroffe

  IRN MXW01635

  • [FCA CF] Significant management (31 Jan 2024 to 29 Nov 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2023 to 29 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
• Marketa Dvorakova

  IRN MXD01710

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (22 May 2007 to 31 Oct 2007)
• Martin Harvey

  IRN MFH01060

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 May 2016 to 8 Dec 2019)
• Martin Lukac

  IRN MXL02044

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Jul 2014 to 8 Dec 2019)
• Mary Ann Tynan

  IRN MAT01091

  • CF10 Compliance Oversight (4 Jul 2002 to 1 Jan 2003)
  • CF1 Director (4 Jul 2002 to 1 Jan 2003)
• Mary Lizbeth Pryshlak

  IRN MLP01076

  • CF1 Director (12 Jul 2016 to 31 Dec 2018)
  • CF30 Customer (14 Jul 2014 to 8 Dec 2019)
• Mary Shannon

  IRN MXS02289

  • SMF9 Chair of the Governing Body (since 9 Jan 2024)
  • SMF11 Chair of the Audit Committee (8 Apr 2024 to 31 Dec 2025)
  • [FCA CF] Material risk taker (1 Apr 2022 to 2 Apr 2022)
  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2022 to 9 Jan 2024)
  • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
  • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
• Maryse Medawar

  IRN MXM02367

  • CF30 Customer (19 May 2008 to 4 Apr 2018)

No changes recorded yet.