Windmill Hill Asset Management Limited

• Principal Place of Business

  Windmill Hill Asset Management

  Windmill Hill

  Silk Street

  Waddesdon

  Aylesbury

  Buckinghamshire

  HP18 0JZ

  UNITED KINGDOM

  Phone

  +442038153100

• Complaints Contact

  Windmill Hill Asset Management

  Windmill Hill

  Silk Street

  Waddesdon

  Aylesbury

  Buckinghamshire

  HP18 0JZ

  UNITED KINGDOM

  Phone

  +442038153062

• 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

  Show 4 limitations Hide limitations

  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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.

• 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, Unit, Warrant

  Show 4 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.
  • · 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 investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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

  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, Unit, Warrant

  Show 3 limitations Hide limitations

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

  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 transaction-only activities.

• 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, 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.

• Aaron James Bridger

  IRN AJB01580

  • CF30 Customer (3 Jul 2008 to 4 May 2012)
• Adam Edward Spencer Bennett

  IRN AEB01112

  • CF1 Director (AR) (4 Mar 2013 to 10 Jan 2014)
  • CF11 Money Laundering Reporting (18 Jul 2011 to 13 Mar 2015)
  • CF10 Compliance Oversight (18 Jul 2011 to 10 Apr 2015)
  • CF3 Chief Executive (30 Apr 2009 to 10 Apr 2015)
  • CF1 Director (30 Apr 2009 to 10 Apr 2015)
• Alexander Bezugly

  IRN AXB02094

  • CF21 Investment Adviser (30 Sep 2005 to 1 Jan 2007)
• Alistair David Miles Morgan

  IRN ADM01261

  • CF1 Director (AR) (17 Jul 2013 to 28 Nov 2014)
• Andrew Francis Bray

  IRN AFB01068

  • CF11 Money Laundering Reporting (19 Jan 2007 to 30 Apr 2007)
  • CF10 Compliance Oversight (19 Jan 2007 to 30 Apr 2007)
  • CF13 Finance (29 Mar 2005 to 30 Apr 2007)
  • CF1 Director (29 Mar 2005 to 30 Apr 2007)
• Aninda Nath

  IRN AXN01610

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Mar 2026)
  • CF30 Customer (6 Dec 2014 to 8 Dec 2019)
• Anna Katherine Austen

  IRN AXA00359

  • CF1 Director (AR) (since 26 May 2021)
• Anthony Michael Krupnik Kay

  IRN AMK01032

  • CF2 Non Executive Director (1 Dec 2001 to 21 Apr 2005)
• Baillie Pratt

  IRN BXP01130

  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 3 Nov 2006)
• Beatrice Hannah Millicent Hollond

  IRN BHH01005

  • CF2 Non Executive Director (16 Aug 2006 to 31 Oct 2006)
  • CF8 Apportionment and Oversight (23 Aug 2004 to 16 Aug 2006)
  • CF3 Chief Executive (7 Jul 2004 to 16 Aug 2006)
  • CF21 Investment Adviser (7 Jul 2004 to 16 Aug 2006)
  • CF27 Investment Management (17 Feb 2004 to 16 Aug 2006)
  • CF1 Director (17 Feb 2004 to 16 Aug 2006)

• J Rothschild Services Limited

  FRN 593084 · Appointed 18 Dec 2012

No changes recorded yet.