CAPE ANN ASSET MANAGEMENT LTD

• Principal Place of Business

  1 Dukes Mews

  London

  W1U 3ET

  UNITED KINGDOM

  Phone

  +442034438489

  Web

  https://www.capeannam.com

• Complaints Contact

  1 Dukes Mews

  London

  W1U 3ET

  UNITED KINGDOM

  Phone

  +442034438489

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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

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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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · 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.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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), Rights to or interests in investments (Security), Rolling spot forex contract, 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.

• Anna Chen

  IRN AXC00482

  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2022)
• Anna Iacoponi

  IRN AXI00055

  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Baljit Panesar

  IRN BXP00096

  • [FCA CF] Material risk taker (9 Dec 2019 to 3 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jun 2022)
• Bethany Lucinda Bailey

  IRN BLB01045

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2025)
  • CF30 Customer (21 Apr 2017 to 8 Dec 2019)
• Chloe Hanna

  IRN CXH01027

  • [FCA CF] Material risk taker (since 13 Apr 2026)
• Clint Anthony Johnston

  IRN CAJ01108

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
• Enyonam Afenu

  IRN EXA00168

  • [FCA CF] Client dealing (since 8 Apr 2025)
  • [FCA CF] Material risk taker (since 21 Mar 2023)
• Gemma Louise Lowthian

  IRN GLL01014

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Sep 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Sep 2024)
  • CF30 Customer (26 Mar 2019 to 8 Dec 2019)
• Geoffrey Peter Summers

  IRN GPS01109

  • SMF3 Executive Director (since 1 Nov 2023)
  • SMF16 Compliance Oversight (since 10 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (30 Jul 2019 to 8 Dec 2019)
• Henry Whelan

  IRN HXW00061

  • [FCA CF] Client dealing (since 3 Jun 2022)
  • [FCA CF] Material risk taker (since 15 Oct 2020)

No changes recorded yet.