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

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  • · 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

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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.

• 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

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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.

• 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

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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.

• 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

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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.

• 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

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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.

• 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

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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.

• 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

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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.

• Leana Marie Sutherley

  IRN LMM01060

  • CF21 Investment Adviser (18 Jun 2004 to 18 Jul 2007)
• Lisa Elaine Nicholson

  IRN LEN01010

  • SMF16 Compliance Oversight (since 17 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Feb 2026)
• Marion Victoire Hales

  IRN MVH00001

  • CF1 Director (1 Dec 2001 to 22 Jun 2004)
• Matthew Lammas

  IRN MJL01201

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (2 Mar 2020 to 28 Feb 2025)
  • CF30 Customer (9 Apr 2008 to 8 Dec 2019)
• Matthew Paul Harvey Vivian

  IRN MXV00086

  • [FCA CF] Functions requiring qualifications (14 Jun 2021 to 3 Mar 2023)
  • [FCA CF] Client dealing (14 Jun 2021 to 3 Mar 2023)
• Miles Moseley

  IRN MFM00002

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 3 Dec 2025)
  • CF1 Director (AR) (7 May 2009 to 1 Jan 2012)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Neil Greenaway

  IRN NXG00044

  • SMF1 Chief Executive (since 4 Nov 2025)
  • SMF3 Executive Director (since 4 Nov 2025)
• Philip Mark Lowndes Howell

  IRN PMH01115

  • SMF3 Executive Director (9 Dec 2019 to 3 Dec 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Dec 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Dec 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Dec 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 3 Dec 2025)
  • Responsible for Insurance Mediation (29 Feb 2012 to 30 Sep 2018)
  • CF10 Compliance Oversight (3 Jul 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2005 to 8 Dec 2019)
  • CF1 Director (2 Feb 2005 to 8 Dec 2019)
• Robert Howard Wilson

  IRN RHW00006

  • SMF3 Executive Director (9 Dec 2019 to 16 Oct 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (3 Oct 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (6 Apr 2005 to 31 Oct 2007)
• Rowan Mia MacKenzie

  IRN RMM01085

  • [FCA CF] Manager of certification employee (since 19 Jan 2026)

• CFJ Financial Ltd (no longer appointed)

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

No changes recorded yet.