Simon joined Dowgate Capital as Head of Compliance in 2017 and joined the Board as Chief Operating Officer at the beginning of 2020. His responsibilities within the company include managing the company’s operational policies, systems and processes while continuing to manage and oversee the compliance department and being the main point of contact with the FCA. His area of responsibility covers both Dowgate Capital and Dowgate Wealth, where he has also recently joined the board.
Simon has over 20 years of experience in the industry, having held various compliance officer roles at Jupiter Unit Trust Managers, JP Morgan Asset Management and Daiwa Asset Management. He is an associate of the CISI. In principle, he says there is no difference from working at a smaller dynamic business or a start up like Dowgate Wealth: the best interests of the clients are always paramount, supported by robust systems and controls. What he finds refreshing about Dowgate Wealth is that a culture of strong governance is supported by a speed of decision making lacking in larger organisations which makes bespoke wealth management easier to manage and control. To this end, his people management skills mean that any issues that do arise can be dealt with quickly and efficiently.
Simon enjoys the variety and responsibility of his role and the fact that every day is different. He still manages to find time to enjoy seeing his young family grow up and quality family time is high on his agenda. Away from his family, he enjoys running and golf, but neither sport quite matches the excitement of helping to grow Dowgate Wealth into the substantial business it aims to be.
Onward Opportunities Limited is listed on the Alternative Investment Market (AIM) on the London Stock Exchange and seeks to comply with the principles of good corporate governance as stated in the AIC Corporate Governance Code to the extent that is appropriate and practical for an AIM quoted company of its size and nature.
You are attempting to enter a part of the website containing materials which may be restricted under the securities laws of certain jurisdictions.
Please read this notice carefully – it applies to all persons who view this webpage. The disclaimer set out below may be altered or updated from time to time. You should read it in full each time you visit the site.
The materials you are seeking to access are made available in good faith and for information purposes only and are subject to the terms and conditions set out below. Any person seeking to access this webpage represents and warrants to the Company that they are doing so for information purposes only. Further, it does not constitute a recommendation by the Company or any associated company or any other person to subscribe for or buy securities in the Company. The information on this website is general in nature and does not in any way constitute investment, tax, legal or other advice. To allow you to view information about the Company, you must read this notice and then click “I AGREE”. If you are unable to agree, you should click “I DISAGREE” and you will not be able to view information about the Company.
Nothing on, or which can be downloaded from, this webpage constitutes an offer for sale or subscription or any solicitation for any offer to buy or subscribe for any securities in any jurisdiction. Any such purchase or subscription must be made only on the basis of the information contained in an admission document relating to the Company in its final form (the “Admission Document “). Any decision made to purchase or subscribe for any securities should be made solely and only on the basis of the information provided in the Admission Document.
The materials are only addressed to and directed at persons in the United Kingdom that are “qualified investors” within the meaning of the UK version of the EU Prospectus Regulation which forms part of UK domestic law pursuant to the European Union (Withdrawal) Act 2018 and are persons: (a) who have professional experience in matters relating to investments falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”) (investment professionals); (b) who fall within Article 49(2)(a) to (d) of the Order (high net worth companies, unincorporated associations etc.); or (c) to whom it may otherwise be lawfully distributed (all such persons in (a), (b) and (c) together being referred to as “Relevant Persons”). Any investment or investment activity to which these materials relate is available only to Relevant Persons, and will only be engaged with such persons.
Overseas jurisdictions
Viewing the materials you are seeking to access may be restricted under securities laws in certain jurisdictions. In other jurisdictions, only certain categories of person may be allowed to view the materials. All persons who wish to view this webpage must first satisfy themselves that they are not subject to any local requirements which prohibit or restrict them from doing so and should inform themselves about, and observe, any applicable legal or regulatory requirements applicable in their jurisdiction.
These materials are not directed at persons located or resident in the United States, Canada, Japan, Australia, the Republic of South Africa, New Zealand, any member state of the European Economic Area or in any other jurisdiction outside of the United Kingdom, Guernsey and Jersey (each a “Restricted Jurisdiction”).
The materials do not constitute an offer to issue or sell, or the solicitation of an offer to subscribe for or buy, any securities to any person in any jurisdiction to whom it is unlawful to make such offer or solicitation in such jurisdiction. Without limiting the generality of the foregoing, these materials do not constitute an offer of securities to any person with a registered address, or who is resident in, the United States, or who is otherwise a “US Person” as defined in Regulation S under the United States Securities Act of 1933 (as amended) (the “US Securities Act“). There will be no public offer of securities in the United States. Outside of the United States, the securities are being offered in reliance on Regulation S promulgated under the US Securities Act. These materials may not be distributed directly or indirectly to any persons with addresses in the United States or any of its territories or possessions unless in accordance with applicable law.
If you are not permitted to view materials on this website or are in any doubt as to whether you are permitted to view these materials, please exit this webpage. You should not mail, forward, release, distribute, publish, send or show the information or documents contained on this webpage, in whole or in part, directly or indirectly, to any person. In particular, you should not mail, forward, release, distribute, publish or send the information or documents contained therein, in whole or in part, directly or indirectly, to a Restricted Jurisdiction or any other jurisdiction where it would be unlawful to do so. Persons receiving such documents (including custodians, nominees and trustees) must not release, distribute, publish or send them in, into or from a Restricted Jurisdiction.
Forward looking statements
This webpage and the information contained herein contains certain forward looking statements. These statements relate to, among other things, analyses and other information that are based on forecasts of future results and estimates of amounts not yet determinable. These statements also relate to the Company’s future prospectus, development and business strategies. These forward looking statements are identified by the use of terms and phrases such as “anticipate”, “believe”, “could”, “estimate”, “expect”, “intend”, “may”, “plan”, “predict”, “project, “will” or the negative of those variations, or comparable expressions, including references to assumptions. These statements, including statements containing projections of the Company’s future results, operating profits and earnings, are based on current expectations and subject to risks and uncertainties that could cause actual results to differ materially from those expressed or implied by those statements. By their nature, forward looking statements involve risk and uncertainty and the factors described in the context of such forward looking statements could cause actual results and developments to differ materially from those expressed in or implied by such forward looking statements.
Should one or more of these risks or uncertainties materialise, or should underlying assumptions prove incorrect, actual results may vary materially from those described in this webpage and the information contained herein. Except as required by applicable law or regulation, neither the Company, nor its advisers nor any of their respective agents, assumes or undertakes any obligation to update or correct the information contained in this webpage and the information contained herein.
None of the Company, Cavendish Capital Markets Limited (“Cavendish“), Dowgate Capital Limited (“Dowgate Capital“) or any other person has, or accepts: (i) any responsibility or duty to update any information, document or announcement contained on this website and the Company reserves the right to add to, remove or amend any information available on this website at any time; or (ii) any responsibility in respect of any information contained on any other website which may be linked to or from this website.
Cavendish, which is authorised and regulated by the Financial Conduct Authority (“FCA“) in the United Kingdom, is acting exclusively for the Company and no one else in connection with the matters referred to on this website and will not be acting for any other person or otherwise responsible to any person other than the Company for providing the protections afforded to clients of Cavendish or for advising any other person in relation to any matters referred to on this website. Apart from the responsibilities and liabilities, if any, which may be imposed on Cavendish by the Financial Services and Markets Act 2000, as amended (“FSMA“), or the regulatory regime established thereunder, Cavendish accepts no responsibility whatsoever for the contents of this website or for any statement made or purported to be made by it, or on its behalf, in connection with the Company. Cavendish, its subsidiaries, branches and affiliates accordingly disclaim all and any liability whether arising in tort, contract or otherwise (save as referred to above) which it might otherwise have in respect of such material or any such statement.
Dowgate Capital, which is authorised and regulated by the FCA in the United Kingdom, is acting exclusively for the Company and no one else in connection with the matters referred to on this website and will not be acting for any other person or otherwise responsible to any person other than the Company for providing the protections afforded to clients of Dowgate Capital or for advising any other person in relation to any matters referred to on this website. Apart from the responsibilities and liabilities, if any, which may be imposed on Dowgate Capital by the FSMA, or the regulatory regime established thereunder, Dowgate Capital accepts no responsibility whatsoever for the contents of this website or for any statement made or purported to be made by it, or on its behalf, in connection with the Company. Dowgate Capital, its subsidiaries, branches and affiliates accordingly disclaim all and any liability whether arising in tort, contract or otherwise (save as referred to above) which it might otherwise have in respect of such material or any such statement.
Confirmation of understanding and acceptance
By clicking ‘I agree’ below, you represent, warrant and agree that:
YOU ARE NOT ACCESSING THIS WEBSITE FROM WITHIN THE UNITED STATES OR FROM ANY OTHER RESTRICTED JURISDICTION; AND
YOU ARE NOT A U.S. PERSON (AS DEFINED IN REGULATION S UNDER THE SECURITIES ACT) OR OTHERWISE RESIDENT IN THE UNITED STATES OR ANY OTHER RESTRICTED JURISDICTION; AND
YOU ARE NOT INVESTING OR OTHERWISE ACTING FOR THE ACCOUNT OR BENEFIT OF A US PERSON OR A RESIDENT OF THE UNITED STATES OR ANY OTHER RESTRICTED JURISDICTION; AND
YOU ARE ACCESSING THIS WEBSITE FOR INFORMATION PURPOSES ONLY;
YOU WILL NOT TRANSMIT OR OTHERWISE SEND ANY INFORMATION CONTAINED IN THIS WEBSITE TO ANY PERSONS (I) IN THE UNITED STATES; OR (II) WHO ARE U.S. PERSONS OR (III) IN ANY OTHER RESTRICTED JURISDICTION; AND
YOU HAVE READ, UNDERSTOOD AND AGREE TO THE ABOVE.
If you cannot so represent, warrant and agree, you must click the button labelled ‘I disagree’ or otherwise exit this website. If you believe you are a resident of, and located in, a jurisdiction where viewing is permitted by law, and you can confirm that to us, please contact hello@dowgate.co.uk and +44 (0)20 3416 9143.
