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

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  • · 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

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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

  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

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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

  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.

• Mohammed Shamis Khan

  IRN MSK01137

  • [FCA CF] Client dealing (since 1 Aug 2022)
• Nathaniel Charles Jacob Rothschild

  IRN NCR01025

  • Director of firm who is not a certification employee or a SMF manager (16 Jan 2023 to 26 Feb 2024)
  • SMF9 Chair of the Governing Body (29 Jan 2020 to 16 Jan 2023)
  • SMF3 Executive Director (9 Dec 2019 to 16 Jan 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Jan 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 16 Jan 2023)
  • CF1 Director (AR) (26 Nov 2014 to 26 Feb 2024)
  • CF30 Customer (1 Nov 2007 to 26 Feb 2024)
  • CF21 Investment Adviser (17 Feb 2003 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Oliver Hallam

  IRN OXH01066

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 23 Nov 2011)
• Paul Myners

  IRN PXM01318

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 16 Jan 2022)
  • CF2 Non Executive Director (23 Jun 2016 to 8 Dec 2019)
• Penelope Ann Hylton Elliott

  IRN PXE67175

  • CF1 Director (AR) (3 Apr 2020 to 19 May 2021)
• Peter John Charles Troughton

  IRN PJT01060

  • CF8 Apportionment and Oversight (1 Dec 2001 to 30 Jul 2004)
  • CF3 Chief Executive (1 Dec 2001 to 30 Jul 2004)
• Richard John Wyber

  IRN RJW01144

  • CF13 Finance (1 Dec 2001 to 29 Mar 2005)
  • CF2 Non Executive Director (1 Dec 2001 to 29 Mar 2005)
• Richard Miles Andrew Horlick

  IRN RMH01087

  • CF21 Investment Adviser (9 Feb 2006 to 3 Nov 2006)
• Roger Sewell Bacon

  IRN RSB01045

  • CF21 Investment Adviser (31 Jul 2003 to 26 Aug 2004)
  • CF27 Investment Management (31 Jul 2003 to 26 Aug 2004)
• Ron Yedidia Tabbouche

  IRN RYT01001

  • CF30 Customer (2 Jan 2013 to 31 Dec 2016)
  • CF1 Director (2 Jan 2013 to 31 Dec 2016)

• J Rothschild Services Limited

  FRN 593084 · Appointed 18 Dec 2012

No changes recorded yet.