ROGATE CAPITAL LTD

Date authorised
1 April 2013
Companies House
06902698
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Rogate Capital Ltd
    Suite 310
    Blackfriars Foundry 154-156
    Blackfriars Road
    London
    Southwark
    SE1 8EN
    UNITED KINGDOM
    Phone
    +4402079537313
    Web
    https://www.rocap.co.uk

  • Complaints Contact

    Rogate Capital Ltd
    Suite 310
    Blackfriars Foundry 154-156
    Blackfriars Road
    London
    Southwark
    SE1 8EN
    UNITED KINGDOM
    Phone
    +4402079537313

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Investment Setup

    For Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Daniel Alan Easton

    IRN DAE01048

    • CF30 Customer (12 Mar 2010 to 1 Jan 2013)
  • Mark John Taylor

    IRN MJT01080

    • CF30 Customer (18 Jan 2010 to 8 Dec 2019)
  • Richard John Powell

    IRN RJP00025

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 3 Mar 2021)
    • [PRA CF] Key function holder (since 3 Mar 2021)
    • [FCA CF] Significant management (since 3 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2021)
    • [FCA CF] Benchmark submission and administration (since 3 Mar 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (18 Jan 2010 to 30 Sep 2018)
    • CF30 Customer (18 Jan 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Jan 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 Jan 2010 to 8 Dec 2019)
    • CF1 Director (18 Jan 2010 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

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