Dot Investing Ltd

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Authorised to Operate
Arranges Investments

For Eligible Counterparty, Professional, Retail (Investment), Unit
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, Retail (Investment), Rights to or interests in investments (Security), Unit
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- · 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, Retail (Investment), Unit
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.
Private Investment Funds

Senior staff personally approved by the FCA to hold their roles here.

Ching Ling Tsai
IRN CLT01067
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (9 May 2019 to 8 Dec 2019)
Goziem Omezi
IRN GXO01273
- CF10 Compliance Oversight (9 May 2019 to 4 Nov 2019)
- CF11 Money Laundering Reporting (9 May 2019 to 4 Nov 2019)
Kin San Lo
IRN KSL01031
- SMF17 Money Laundering Reporting Officer (MLRO) (since 5 May 2020)
- SMF16 Compliance Oversight (since 5 May 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF3 Chief Executive (9 May 2019 to 8 Dec 2019)
- CF1 Director (9 May 2019 to 8 Dec 2019)
Louis Massu
IRN LXM00462
- [FCA CF] Client dealing (since 21 Jul 2022)
Luke Charles Dixon
IRN LCD01026
- [FCA CF] Client dealing (since 21 Jul 2022)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.