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.

• Ivana Vilicnik

  IRN IXV01032

  • SMF3 Executive Director (since 9 Mar 2023)
  • [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)
• Jacqueline Mantle

  IRN JXM03673

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
• John Francis Lynch

  IRN JFL01069

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Jul 2016 to 8 Dec 2019)
• Jonathan Bell

  IRN JXB02002

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
  • CF3 Chief Executive (1 Jul 2016 to 8 Dec 2019)
  • CF1 Director (1 Jul 2016 to 8 Dec 2019)
• Kirsty Lucas

  IRN KXL00129

  • [FCA CF] Material risk taker (1 Jul 2020 to 16 Jan 2023)
• Lara Le Pan de Ligny

  IRN LXL00172

  • [FCA CF] Material risk taker (since 7 Apr 2022)
• Ling Xie

  IRN LXX71293

  • [FCA CF] Material risk taker (since 13 Mar 2023)
• Maja Jovicevic

  IRN MXJ00166

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jan 2024)
• Marissa Blankenship

  IRN MXB00505

  • [FCA CF] Material risk taker (since 4 Jan 2022)
• Michael Nixon

  IRN MXN00482

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

No changes recorded yet.