Capel Court Limited

• Principal Place of Business

  Office 12 Lodge House

  Lodge Park Business Centre

  Lodge Lane

  Langham

  Colchester

  Essex

  CO4 5NE

  UNITED KINGDOM

  Phone

  +4401275813700

  Web

  https://capelcourt.cliftonwp.co.uk

• Complaints Contact

  Clifton Asset Management plc

  The Pavilions 69-71

  Macrae Road

  Pill

  Bristol

  North Somerset

  BS20 0DD

  UNITED KINGDOM

  Phone

  +4401275813700

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), 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.

• Adrian Leslie Clibran Reid

  IRN ALR00004

  • [FCA CF] Manager of certification employee (13 Oct 2025 to 2 Mar 2026)
• Andrew John Phillips

  IRN AJP00080

  • CF30 Customer (1 Nov 2007 to 26 Dec 2012)
  • CF27 Investment Management (30 Dec 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 2 May 2006)
• Anthony Valentine Carty

  IRN AVC00003

  • Responsibility for MCD Intermediation (since 17 Apr 2025)
  • SMF3 Executive Director (since 17 Apr 2025)
  • Responsible for Insurance Distribution (since 17 Apr 2025)
• Antony Robin Hales

  IRN ARH00001

  • CF10 Compliance Oversight (1 Dec 2001 to 3 Jul 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 3 Jul 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 3 Jul 2006)
  • CF1 Director (1 Dec 2001 to 31 Jul 2007)
• Beverley Marie Baxter

  IRN BMO01011

  • CF30 Customer (7 Feb 2012 to 17 Sep 2012)
• Christian John Howard Lloyd Markwick

  IRN CJM01217

  • [FCA CF] Manager of certification employee (since 13 Oct 2025)
• David Kerns

  IRN DMK01028

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
• Gopi Patel

  IRN GXP00452

  • [FCA CF] Manager of certification employee (19 Jan 2026 to 10 Mar 2026)
• Graham Baxter

  IRN GWB00006

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Jan 2025)
  • CF30 Customer (31 Mar 2010 to 8 Dec 2019)
• Kevin John Rudkin

  IRN KJR01057

  • SMF3 Executive Director (9 Dec 2019 to 3 Dec 2025)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF1 Director (2 Feb 2005 to 8 Dec 2019)

• CFJ Financial Ltd (no longer appointed)

  FRN 500099 · Appointed 27 Apr 2009 · Until 1 Jan 2012

No changes recorded yet.