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

  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.

• 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, 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.

• 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 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.

• 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 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.

• 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 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.

• 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.

• Carl Dirk Enderlein

  IRN CDE01024

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (1 Jan 2023 to 31 Dec 2023)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
  • CF1 Director (12 Mar 2015 to 8 Dec 2019)
  • CF30 Customer (18 Mar 2010 to 8 Dec 2019)
• Carmel Jenjira Greenwood

  IRN CXG00305

  • [FCA CF] Client dealing (since 6 Jan 2020)
• Caroline Conway

  IRN CXC00963

  • [FCA CF] Client dealing (since 1 Aug 2025)
• Caroline Sahakian

  IRN CXS01475

  • CF21 Investment Adviser (1 Feb 2006 to 15 Apr 2007)
  • CF22 Investment Adviser (Trainee) (10 Jun 2003 to 1 Feb 2006)
• Caroline Wing Han Chan

  IRN CXC01346

  • CF30 Customer (22 Jun 2015 to 14 Apr 2016)
• Carolyn Clougherty Garman

  IRN CXC22447

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Oct 2019 to 8 Dec 2019)
• Casey Vale

  IRN CXV00103

  • [FCA CF] Client dealing (since 16 Sep 2024)
• Cassandra Waller

  IRN CLM01081

  • CF22 Investment Adviser (Trainee) (13 Jan 2006 to 23 Aug 2006)
• Cassiano Santana dos Santos

  IRN CXS00479

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Nov 2021)
• Cathal O Connor

  IRN CXO00137

  • [FCA CF] Client dealing (since 20 Sep 2022)

No changes recorded yet.