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.

• Judith Anne MacKenzie

  IRN JAM01219

  • [FCA CF] Client dealing (since 5 Aug 2024)
  • [FCA CF] Material risk taker (since 27 Feb 2024)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (10 Nov 2015 to 8 Dec 2019)
  • CF30 Customer (17 Jun 2011 to 8 Dec 2019)
• Julia Siobhan Groves

  IRN JXG01983

  • SMF27 Partner (9 Dec 2019 to 25 Jan 2021)
  • CF4 Partner (18 May 2016 to 8 Dec 2019)
• Kevin Addison

  IRN KXA00134

  • [FCA CF] Client dealing (31 Oct 2020 to 17 Feb 2023)
• Kirsty Austin

  IRN KXA00135

  • [FCA CF] Significant management (31 Oct 2020 to 21 Feb 2022)
  • [FCA CF] CASS oversight function (31 Oct 2020 to 21 Feb 2022)
• Kostas Manolis

  IRN KXM01852

  • [FCA CF] Material risk taker (since 27 Feb 2024)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (25 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (25 Aug 2015 to 8 Dec 2019)
• Laoise McGarry

  IRN LXM00336

  • [FCA CF] Client dealing (27 Aug 2021 to 31 Dec 2021)
• Laurence Callcut

  IRN LXC20487

  • [FCA CF] Manager of certification employee (31 Oct 2020 to 3 Mar 2023)
  • [FCA CF] Significant management (31 Oct 2020 to 3 Mar 2023)
  • CF4 Partner (22 Nov 2019 to 9 Dec 2019)
• Mark Gross

  IRN MDG01111

  • [FCA CF] Client dealing (since 31 Oct 2020)
  • CF4 Partner (9 Oct 2018 to 9 Dec 2019)
  • CF30 Customer (11 Feb 2015 to 8 Dec 2019)
• Mark John Dunn

  IRN MJD01144

  • [FCA CF] Significant management (18 May 2022 to 6 Jan 2026)
  • [FCA CF] Client dealing (18 May 2022 to 6 Jan 2026)
  • [FCA CF] Manager of certification employee (18 May 2022 to 6 Jan 2026)
• Martin Robertson

  IRN MGR01079

  • [FCA CF] Client dealing (31 Oct 2020 to 29 Nov 2023)
  • CF4 Partner (21 Oct 2015 to 9 Dec 2019)
  • CF30 Customer (18 Jul 2013 to 8 Dec 2019)

• Downing Global LLP (no longer appointed)

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

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