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.

• Sascha Klamp

  IRN SXK01436

  • CF21 Investment Adviser (22 Dec 2004 to 31 Jul 2007)
  • CF27 Investment Management (22 Dec 2004 to 31 Jul 2007)
• Serena Wilson

  IRN SXW01647

  • CF10 Compliance Oversight (30 Apr 2009 to 1 Apr 2010)
  • CF11 Money Laundering Reporting (30 Apr 2009 to 1 Apr 2010)
• Simon David Brown

  IRN SDB01086

  • CF1 Director (3 Mar 2005 to 31 Mar 2006)
• Stephen Leigh Massey

  IRN SLM01042

  • Director of firm who is not a certification employee or a SMF manager (8 Mar 2023 to 31 Mar 2026)
  • SMF3 Executive Director (9 Dec 2019 to 8 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Mar 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Mar 2023)
  • CF1 Director (15 Aug 2017 to 8 Dec 2019)
  • CF30 Customer (15 Aug 2017 to 8 Dec 2019)
• Steven Chasan

  IRN SXC01668

  • [FCA CF] Material risk taker (12 Mar 2020 to 26 Jul 2024)
  • [FCA CF] Client dealing (12 Mar 2020 to 26 Jul 2024)
• Stuart Anthony Williams

  IRN SAW01210

  • CF26 Customer Trading (1 Nov 2006 to 12 Jan 2007)
• Thomas Christian Dangerfield

  IRN TCD01008

  • CF16 Significant Mgt (Desgntd Investment Business) (6 Jun 2005 to 3 Nov 2006)
  • CF27 Investment Management (6 Jun 2005 to 5 Apr 2007)
  • CF21 Investment Adviser (6 Jun 2005 to 5 Apr 2007)
• Uday Bhaskar Nimmakayala

  IRN UBN01003

  • CF11 Money Laundering Reporting (1 Apr 2010 to 18 Jul 2011)
  • CF10 Compliance Oversight (1 Apr 2010 to 18 Jul 2011)
• Viviane Hirsch

  IRN VXH01112

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (31 Jul 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Mar 2015 to 8 Dec 2019)
• William Graham Victor Kenney

  IRN WGK01006

  • CF27 Investment Management (24 Jul 2006 to 12 Jan 2007)
  • CF21 Investment Adviser (24 Jul 2006 to 12 Jan 2007)

• J Rothschild Services Limited

  FRN 593084 · Appointed 18 Dec 2012

No changes recorded yet.