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.

  • Lois Elizabeth Lancaster

    IRN LEL01014

    • CF30 Customer (since 15 Feb 2025)
    • CF1 Director (AR) (since 15 Feb 2025)
    • [FCA CF] Significant management (since 25 Nov 2024)
    • [FCA CF] Client dealing (since 25 Nov 2024)
  • Luan Megan Egan

    IRN LXE00024

    • CF30 Customer (since 18 Jan 2021)
    • CF1 Director (AR) (since 18 Jan 2021)
    • [FCA CF] Client dealing (since 24 Dec 2020)
    • [FCA CF] Significant management (since 24 Dec 2020)
  • Lucas Blatch

    IRN LXB00053

    • [FCA CF] Client dealing (27 Nov 2023 to 17 Sep 2024)
  • Luke Mcdermott

    IRN LXM01726

    • [FCA CF] Client dealing (since 22 Jan 2026)
    • [FCA CF] Significant management (since 22 Jan 2026)
  • Lynda Ann Stoelker

    IRN LAS01092

    • [FCA CF] Client dealing (since 15 Sep 2022)
    • [FCA CF] Significant management (since 25 Apr 2022)
  • Mairi Macduff-Duncan

    IRN MXM00988

    • CF1 Director (AR) (21 Oct 2022 to 9 Nov 2022)
  • Man Chin Chua

    IRN MXC00674

    • [FCA CF] Client dealing (31 Jan 2022 to 3 Jan 2025)
  • Marc Konstantin Arthur Piech

    IRN MXP00500

    • CF30 Customer (since 16 Mar 2022)
    • CF4 Partner (AR) (since 16 Mar 2022)
    • [FCA CF] Client dealing (since 26 Jan 2022)
    • [FCA CF] Significant management (since 26 Jan 2022)
  • Marcello Romano

    IRN MXR01201

    • [FCA CF] Significant management (21 Oct 2022 to 5 Apr 2023)
    • [FCA CF] Client dealing (21 Oct 2022 to 5 Apr 2023)
  • Maria Beatrice Carrara

    IRN MXC03483

    • CF4 Partner (AR) (since 15 Apr 2026)
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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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