Downing LLP

• Principal Place of Business

  Downing LLP

  10 Lower Thames Street

  London

  City Of London

  EC3R 6AF

  UNITED KINGDOM

  Phone

  +4402038625984

  Web

  https://www.downing.co.uk

• Complaints Contact

  Downing LLP

  10 Lower Thames Street

  London

  City Of London

  EC3R 6AF

  UNITED KINGDOM

  Phone

  +4402038625984

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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 advising retail clients in relation to corporate finance and venture capital business only
  • · 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.

• 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, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Life Policy, 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), 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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 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.

• Thomas Phillips

  IRN TJP01131

  • [FCA CF] Manager of certification employee (31 Oct 2020 to 29 Nov 2023)
  • [FCA CF] Significant management (31 Oct 2020 to 29 Nov 2023)
  • CF30 Customer (20 Jun 2011 to 8 Dec 2019)
• Tom Moore

  IRN TXM01660

  • [FCA CF] Client dealing (since 28 Feb 2024)
  • [FCA CF] CASS oversight function (since 6 Apr 2023)
  • [FCA CF] Significant management (since 31 Oct 2020)
• Tom Williams

  IRN TSW01022

  • [FCA CF] Client dealing (since 31 Oct 2020)
  • [FCA CF] Manager of certification employee (since 31 Oct 2020)
  • CF30 Customer (16 Oct 2018 to 8 Dec 2019)
  • CF4 Partner (16 Oct 2018 to 9 Dec 2019)
• Tony Michael McGing

  IRN TMM01033

  • [FCA CF] Material risk taker (since 27 Feb 2024)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (29 Sep 2015 to 8 Dec 2019)
  • CF28 Systems and controls (1 Jun 2011 to 22 Oct 2015)
  • CF11 Money Laundering Reporting (1 Jun 2011 to 30 Nov 2015)
  • CF10 Compliance Oversight (1 Jun 2011 to 22 Jul 2015)
  • CF4 Partner (1 Jun 2011 to 8 Dec 2019)
  • CF30 Customer (1 Jun 2011 to 8 Dec 2019)
• Torsten Mack

  IRN TXM00233

  • [FCA CF] Client dealing (since 31 Oct 2020)
• Ulf Wennilsjo

  IRN UXW00007

  • [FCA CF] Client dealing (10 Jan 2022 to 9 Sep 2022)
• Vimal Jain

  IRN VXJ01120

  • [FCA CF] Client dealing (7 Nov 2022 to 31 Jan 2024)
• Warren Rogers

  IRN WXR00038

  • [FCA CF] Client dealing (31 Oct 2020 to 17 Feb 2022)
• William Jack Barker

  IRN WJB01095

  • CF30 Customer (16 Nov 2011 to 22 Nov 2013)

• Downing Global LLP (no longer appointed)

  FRN 915728 · Appointed 25 Oct 2019 · Until 5 Oct 2021 · Tied agent

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