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.

• Julian Maurice Delano

  IRN JMD01083

  • CF30 Customer (1 Nov 2007 to 25 Dec 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 25 Dec 2007)
• Julian Philipp Ameler

  IRN JPA01068

  • CF30 Customer (16 Mar 2013 to 18 Dec 2018)
• Marek Stefan Gumienny

  IRN MSG01055

  • CF30 Customer (1 Nov 2007 to 31 Dec 2011)
  • CF1 Director (1 Dec 2001 to 31 Dec 2011)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 13 Jul 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Marieke Christmann

  IRN MXC02348

  • CF30 Customer (16 Mar 2013 to 1 Aug 2014)
• Mark Simon Dickinson

  IRN MSD01039

  • CF30 Customer (3 Feb 2012 to 4 Nov 2013)
  • CF1 Director (5 Feb 2008 to 17 Mar 2009)
• Martin Carl Edsinger

  IRN MCE01039

  • CF30 Customer (13 Feb 2013 to 18 Dec 2018)
• Matthew Colin Harrison

  IRN MCH01080

  • CF10a CASS Oversight function (28 Jan 2014 to 19 Feb 2018)
  • CF10 Compliance Oversight (3 Jan 2014 to 19 Feb 2018)
  • CF11 Money Laundering Reporting (3 Jan 2014 to 19 Feb 2018)
  • CF1 Director (12 Aug 2009 to 19 Feb 2018)
  • CF28 Systems and controls (1 Nov 2007 to 19 Feb 2018)
  • CF13 Finance (2 Oct 2003 to 31 Oct 2007)
• Mikael Hans Rune Johansson

  IRN MHJ01029

  • CF30 Customer (18 Feb 2013 to 15 Apr 2014)
• Munira Nashir Boghani Nathoo

  IRN MNN01014

  • CF30 Customer (13 Feb 2013 to 15 Apr 2014)
• Mustafa Bagriacik

  IRN MXB01468

  • CF1 Director (13 Nov 2008 to 16 Mar 2009)
  • CF30 Customer (13 Nov 2008 to 16 Mar 2009)

No changes recorded yet.