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.

• Nicoleta Varzari

  IRN NXV01202

  • [FCA CF] Material risk taker (1 Jan 2020 to 26 Nov 2021)
• Olivia Halcox

  IRN OXH00088

  • [FCA CF] Material risk taker (6 Mar 2024 to 4 Aug 2025)
• Peter Reeve Lockey

  IRN PRL01072

  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Feb 2022)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2016 to 31 Jul 2019)
  • CF10 Compliance Oversight (1 Jul 2016 to 8 Dec 2019)
  • CF1 Director (1 Jul 2016 to 8 Dec 2019)
• Philip Tingle

  IRN PXT00151

  • [FCA CF] Client dealing (since 8 Apr 2025)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Rainer Tilk

  IRN RXT01561

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

  IRN RXJ00233

  • [FCA CF] Material risk taker (since 16 Dec 2022)
• Surajdev Yadav

  IRN SXY00108

  • [FCA CF] Material risk taker (since 12 Oct 2023)
• Timothy John Linehan

  IRN TJL01059

  • CF2 Non Executive Director (1 Jul 2016 to 8 Dec 2019)

No changes recorded yet.