Dowgate Capital Limited

• Principal Place of Business

  15 Fetter Lane

  London

  EC4A 1BW

  UNITED KINGDOM

  Phone

  +442039037715

  Web

  https://dowgatecapital.co.uk

• Complaints Contact

  Dowgate Capital

  15 Fetter Lane

  London

  City Of London

  EC4A 1BW

  UNITED KINGDOM

  Phone

  +442037584737

• 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, Retail (Investment), 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

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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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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

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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.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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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), 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

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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.

• Rosalind Elizabeth Mash

  IRN REM01040

  • CF10 Compliance Oversight (23 May 2003 to 12 Sep 2003)
  • CF11 Money Laundering Reporting (23 May 2003 to 12 Sep 2003)
• Russell Dobbs

  IRN RXD01136

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
  • CF30 Customer (1 Aug 2019 to 8 Dec 2019)
• Russell Paul Cook

  IRN RPC01020

  • [FCA CF] Client dealing (3 Nov 2021 to 6 Feb 2026)
• Sarah Diane Haswell

  IRN SDM01080

  • CF10 Compliance Oversight (2 Apr 2002 to 16 May 2003)
  • CF11 Money Laundering Reporting (2 Apr 2002 to 16 May 2003)
• Simon David Carter

  IRN SDC01123

  • SMF3 Executive Director (since 4 Sep 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 May 2024)
  • CF10 Compliance Oversight (9 Feb 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Feb 2018 to 8 Dec 2019)
• Spencer Jonathon Moulton

  IRN SJM01422

  • CF30 Customer (3 Jul 2008 to 9 Oct 2009)
• Stephen Timothy Preston Norcross

  IRN STN01006

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Feb 2026)
  • CF30 Customer (4 Mar 2019 to 8 Dec 2019)
• Stuart Melville Parkinson

  IRN SMP01080

  • [FCA CF] Manager of certification employee (17 Nov 2023 to 20 Nov 2023)
  • SMF3 Executive Director (17 Mar 2021 to 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Mar 2025)
  • CF30 Customer (13 Sep 2019 to 8 Dec 2019)
• Susan Janet Rutherford

  IRN SJR01121

  • CF11 Money Laundering Reporting (18 Nov 2003 to 24 Oct 2006)
  • CF10 Compliance Oversight (18 Nov 2003 to 24 Oct 2006)
  • CF1 Director (18 Nov 2003 to 24 Oct 2006)
• Sylvia Ruth Levi

  IRN SRL01078

  • CF11 Money Laundering Reporting (13 Apr 2011 to 3 Feb 2018)

No changes recorded yet.