Caphaven LLP

Date authorised
27 May 2015
Companies House
OC391884
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 Hill Street
    London
    Westminster
    W1J 5NQ
    UNITED KINGDOM
    Phone
    +447909540880
    Web
    https://www.caphaven.com

  • Complaints Contact

    10 Hill Street
    London
    Westminster
    W1J 5NQ
    UNITED KINGDOM
    Phone
    +447909540880

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Eligible Counterparty, Professional

  • 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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
    • · 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 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Underwriting capacity of a Lloyd's syndicate, Warrant

    Show 1 limitation
    • · 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alexander Dominic Spain

    IRN ADS01077

    • CF4 Partner (27 May 2015 to 17 Mar 2017)
    • CF30 Customer (27 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 May 2015 to 8 Aug 2016)
    • CF10 Compliance Oversight (27 May 2015 to 8 Aug 2016)
  • Berent August Wallendahl

    IRN BAW01018

    • [FCA CF] Significant management (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (6 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (6 Sep 2016 to 8 Dec 2019)
  • Cornel Carl Riklin

    IRN CCR01031

    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Significant management (since 1 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF10 Compliance Oversight (27 Jun 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Jun 2016 to 8 Dec 2019)
    • CF30 Customer (27 May 2015 to 8 Dec 2019)
    • CF4 Partner (27 May 2015 to 8 Dec 2019)
  • Neeshu Rasik Ranchodas Lukha

    IRN NRL01051

    • [FCA CF] Significant management (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (5 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (5 Sep 2016 to 8 Dec 2019)
  • Peter Heath Dailey

    IRN PHD01016

    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Significant management (since 1 Jan 2021)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (7 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (7 Sep 2016 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.