Simon David Carter

Last updated
1 week ago
Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Dowgate Wealth Limited

    FRN 926137

    • SMF3 Executive Director (since 10 Dec 2020)
    • SMF16 Compliance Oversight (10 Dec 2020 to 3 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (10 Dec 2020 to 23 Sep 2024)
  • Dowgate Capital Limited

    FRN 146274

    • SMF3 Executive Director (since 4 Sep 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 May 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2021)
    • CF11 Money Laundering Reporting (9 Feb 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (9 Feb 2018 to 8 Dec 2019)
  • Shard Capital Partners LLP (no longer approved here)

    FRN 538762

    • CF10 Compliance Oversight (28 Apr 2014 to 31 Jan 2018)
    • CF11 Money Laundering Reporting (28 Apr 2014 to 31 Jan 2018)
  • Daiwa Asset Management (Europe) Ltd (no longer approved here)

    FRN 122113

    • CF10 Compliance Oversight (11 Nov 2011 to 28 Feb 2014)
    • CF11 Money Laundering Reporting (11 Nov 2011 to 28 Feb 2014)

Recent activity

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

No changes recorded yet.