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.

• Colin Corbally

  IRN CEC01079

  • [FCA CF] Client dealing (since 31 Oct 2020)
  • CF30 Customer (1 Jun 2011 to 8 Dec 2019)
  • CF4 Partner (1 Jun 2011 to 9 Dec 2019)
• Daniel Justin Quin

  IRN DJQ01010

  • [FCA CF] Significant management (since 22 Jan 2026)
• Daniel Ridett

  IRN DXR00240

  • [FCA CF] Manager of certification employee (31 Oct 2020 to 6 Jul 2022)
  • [FCA CF] Significant management (31 Oct 2020 to 9 Mar 2023)
• Danielle Jones

  IRN DXJ01368

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (19 Nov 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Aug 2019 to 8 Dec 2019)
• Danielle Strothers

  IRN DXS00523

  • [FCA CF] Significant management (7 Sep 2021 to 4 Jul 2022)
• David Benjamin Freeder

  IRN DBF01025

  • CF30 Customer (18 Dec 2013 to 8 Dec 2019)
• David Chambers

  IRN DXC00432

  • [FCA CF] Client dealing (7 Sep 2021 to 7 Jun 2024)
• David Martin Smith

  IRN DXM00478

  • [FCA CF] Client dealing (31 Oct 2020 to 8 Jul 2021)
• David Michael Phillips

  IRN DMP01134

  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
• Dinesh Patel

  IRN DXP00263

  • [FCA CF] Significant management (31 Oct 2020 to 26 Jun 2024)

• Downing Global LLP (no longer appointed)

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

No changes recorded yet.