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.

  • Colin Smith

    IRN CXS16423

    • CF30 Customer (since 17 Aug 2021)
    • [FCA CF] Client dealing (since 17 Aug 2021)
    • [FCA CF] Significant management (since 17 Aug 2021)
    • CF4 Partner (AR) (since 17 Aug 2021)
  • Cristian Cibrario

    IRN CXC01446

    • [FCA CF] Client dealing (29 Jan 2024 to 16 Oct 2024)
    • [FCA CF] Significant management (29 Jan 2024 to 16 Oct 2024)
  • Damon Harry Hoff

    IRN DHH01046

    • [FCA CF] Significant management (12 Mar 2021 to 16 Aug 2023)
    • [FCA CF] Client dealing (12 Mar 2021 to 16 Aug 2023)
    • CF1 Director (AR) (28 May 2019 to 23 Nov 2023)
    • CF30 Customer (5 Mar 2012 to 23 Nov 2023)
    • CF1 Director (26 Jul 2010 to 17 Dec 2018)
  • Daniel Mark Dutton

    IRN DMD01098

    • CF1 Director (AR) (since 9 Sep 2024)
    • CF30 Customer (since 9 Sep 2024)
    • [FCA CF] Significant management (since 5 Aug 2024)
    • [FCA CF] Client dealing (since 5 Aug 2024)
  • Darryl Sean Noik

    IRN DSN01021

    • [FCA CF] Client dealing (since 1 Dec 2022)
    • SMF16 Compliance Oversight (since 15 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (28 May 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 May 2019 to 8 Dec 2019)
    • CF1 Director (28 May 2019 to 8 Dec 2019)
    • CF29 Significant management (5 Jul 2017 to 28 May 2019)
  • David Anthony Leahy

    IRN DXL16240

    • CF30 Customer (1 Dec 2020 to 9 Mar 2022)
    • [FCA CF] Client dealing (21 Oct 2020 to 9 Mar 2022)
  • David Arzi

    IRN DXA07803

    • [FCA CF] Significant management (10 Oct 2023 to 24 Jun 2025)
    • [FCA CF] Client dealing (10 Oct 2023 to 24 Jun 2025)
  • David Cunio

    IRN DXC01920

    • CF1 Director (23 Aug 2016 to 11 Jan 2019)
    • CF11 Money Laundering Reporting (26 Jul 2010 to 1 Feb 2012)
    • CF30 Customer (26 Jul 2010 to 26 Jul 2010)
  • David Da Cunha

    IRN DRD01054

    • [FCA CF] Client dealing (11 May 2023 to 5 Apr 2024)
  • David Eugene Babin

    IRN DXB01238

    • [FCA CF] Client dealing (since 2 Mar 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.

No changes recorded yet.