Douse Associates Ltd

Date authorised
3 September 2018
Companies House
10837002
Last scraped
1 week ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · 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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Sally Jane Smith

    IRN SJS01403

    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF28 Systems and controls (3 Sep 2018 to 8 Dec 2019)
    • CF1 Director (3 Sep 2018 to 8 Dec 2019)
  • Susan Annabelle Douse

    IRN SAD01067

    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (3 Sep 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Sep 2018 to 8 Dec 2019)
    • CF3 Chief Executive (3 Sep 2018 to 8 Dec 2019)
    • CF1 Director (3 Sep 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.