CAPRICORN FUND MANAGERS LIMITED

Date authorised
1 April 2013
Companies House
06849383
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor, Malta House
    36-38 Piccadilly
    London
    W1J 0DP
    UNITED KINGDOM
    Phone
    +447917838117
    Web
    http://www.capricornfundmanagers.com

  • Complaints Contact

    2nd Floor Malta House
    36-38 Piccadilly
    London
    W1J 0DP
    UNITED KINGDOM
    Phone
    +447917838117

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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 Asset Safekeeping

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

  • Stockbroking

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

  • Runs Investment Funds

  • Investment Setup

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, Unit, Warrant

  • Retail Investment Funds

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Spread Bet, 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.

Approved individuals

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

  • Simon Christopher Rowan

    IRN SXR01460

    • CF30 Customer (28 Jul 2022 to 7 Oct 2025)
  • Simon James Milledge

    IRN SJM01535

    • CF30 Customer (10 Nov 2022 to 4 Apr 2024)
    • CF1 Director (AR) (10 Nov 2022 to 4 Apr 2024)
    • [FCA CF] Significant management (7 Oct 2022 to 5 Apr 2024)
    • [FCA CF] Client dealing (7 Oct 2022 to 5 Apr 2024)
  • Stefano Sciacca

    IRN SXS14203

    • CF30 Customer (since 20 Mar 2025)
    • CF1 Director (AR) (since 20 Mar 2025)
  • Stephen Allan White

    IRN SAW01103

    • [FCA CF] Significant management (since 9 Oct 2023)
    • [FCA CF] Client dealing (since 9 Oct 2023)
    • CF30 Customer (since 11 Jul 2023)
    • CF1 Director (AR) (since 11 Jul 2023)
  • Steven Cliff Bartlett

    IRN SXB00904

    • CF30 Customer (since 28 Apr 2022)
    • CF4 Partner (AR) (since 28 Apr 2022)
    • [FCA CF] Client dealing (21 Apr 2022 to 27 Feb 2026)
  • Steven Penketh

    IRN SJP01293

    • CF3 Chief Executive (AR) (since 16 Jan 2025)
    • CF30 Customer (since 16 Jan 2025)
    • CF1 Director (AR) (since 16 Jan 2025)
    • [FCA CF] Significant management (since 15 Nov 2024)
    • [FCA CF] Client dealing (since 15 Nov 2024)
  • Stuart Roy Dixon

    IRN SRD01045

    • [FCA CF] Client dealing (since 19 Jan 2023)
    • Director of firm who is not a certification employee or a SMF manager (since 14 Sep 2020)
  • Stéphane Jean Désiré Collot

    IRN SXC03210

    • [FCA CF] Client dealing (since 11 Mar 2026)
  • Sujay Kodlikeri

    IRN SPK01058

    • [FCA CF] Client dealing (18 Oct 2022 to 19 Jun 2023)
  • Surojit Chakraverti

    IRN SXC02753

    • [FCA CF] Client dealing (since 19 Dec 2025)
    • [FCA CF] Significant management (since 19 Dec 2025)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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