Newgate Private Equity Limited

• Principal Place of Business

  12 Berwick Road

  Bournemouth

  Bournemouth

  BH3 7BB

  UNITED KINGDOM

  Phone

  +447767823825

  Web

  https://www.newgatepe.com

• Complaints Contact

  12 Berwick Road

  Bournemouth

  Bournemouth

  BH3 7BB

  UNITED KINGDOM

  Phone

  +447767823825

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, 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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  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities for venture capital investments and in carrying on such activities to the specified investments "unit", and "rights to or interests in investments - security", (when the latter is associated with this specified investment).
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to 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, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  Show 5 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations for venture capital investments and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities for venture capital investments and in carrying on such activities to the specified investments "unit", and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  For Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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), Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations for venture capital investments and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Trades With You Directly

  For Eligible Counterparty, Professional, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Unit

  Show 2 limitations Hide limitations

  • · Limited to unregulated collective scheme box operations in respect of venture capital business and in carrying on such operations to the specified investments "unit", "option (excluding a commodity option and an option on commodity futures)", "future (excluding a commodity future and a rolling spot forex contract)" and "right to or interests in investments - contractually based investment", (when the latter is associated with these specified investments).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  Show 5 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations for venture capital investments and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).
  • · Limited to unregulated collective investment scheme marketing activities for venture capital investments and in carrying on such activities to the specified investments "unit", and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Private Investment Funds

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  Show 4 limitations Hide limitations

  • · Limited to unregulated collective investment scheme operations for venture capital investments and in carrying on such operations to the specified investment types listed other than "stakeholder pension scheme", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "life policy", "funeral plan contract", and "rights to or interests in investments - contractually based investment", (when the latter is associated with these specified investments), and to the customer type "professional client".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to venture capital business and in carrying on this activity to the specified investments, "share", "debenture", "warrant", "certificate representing certain security", "unit", "rights to or interests in investments - security", (when the latter is associated with this specified investment), "option (excluding a commodity option and an option on commodity futures)", "rights to or interests in investments - contractually based investment", (when the latter is associated with this specified investment).

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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

  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 John Buffin

  IRN CJB01148

  • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF3 Chief Executive (1 Dec 2001 to 24 Jul 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 24 Jul 2009)
• Cyril Henri Francois Zivre

  IRN CHZ01000

  • CF1 Director (25 Mar 2010 to 12 Dec 2011)
• Cyrille Louis Pierre Chevrillon

  IRN CLC01046

  • CF30 Customer (1 Nov 2007 to 16 Mar 2009)
  • CF27 Investment Management (12 Sep 2006 to 31 Oct 2007)
  • CF1 Director (22 Nov 2002 to 16 Mar 2009)
• David Goulden Brickell

  IRN DGB01094

  • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
  • CF1 Director (17 Oct 2007 to 17 Mar 2009)
  • CF27 Investment Management (27 Apr 2006 to 31 Oct 2007)
• David John Morton

  IRN DJM01283

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10a CASS Oversight function (25 Feb 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (30 Jan 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (30 Jan 2018 to 8 Dec 2019)
  • CF1 Director (30 Jan 2018 to 8 Dec 2019)
• Elizabeth Anne Hatfield

  IRN EXH01108

  • CF11 Money Laundering Reporting (22 Jul 2002 to 6 May 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 6 May 2009)
• Emma Judith Sophia Watford

  IRN EJW01081

  • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
  • CF1 Director (17 Oct 2007 to 17 Mar 2009)
  • CF27 Investment Management (17 Oct 2007 to 31 Oct 2007)
• Eric Joost Frans Hubert Christiaan Ernst

  IRN EJE01005

  • CF30 Customer (1 Nov 2007 to 12 Dec 2011)
  • CF1 Director (24 Feb 2006 to 17 Mar 2009)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Francisco Javier Abad Marturet

  IRN FJA01017

  • CF30 Customer (8 Feb 2012 to 18 Dec 2018)
  • CF1 Director (10 Jul 2006 to 17 Mar 2009)
• Gavin Douglas Fairservice

  IRN GDF01014

  • CF27 Investment Management (1 Dec 2001 to 8 May 2006)
  • CF1 Director (1 Dec 2001 to 8 May 2006)

No changes recorded yet.