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.

  • Peter Haque Bousquet

    IRN PXH01865

    • CF1 Director (AR) (since 23 Feb 2026)
    • CF30 Customer (since 23 Feb 2026)
    • [FCA CF] Client dealing (since 24 Dec 2025)
    • [FCA CF] Significant management (since 24 Dec 2025)
  • Peter Roderick Stewart Ross

    IRN PRR01026

    • CF30 Customer (2 Aug 2021 to 20 Feb 2023)
    • CF1 Director (AR) (2 Aug 2021 to 20 Feb 2023)
  • Philip Pecar

    IRN PXP00392

    • CF30 Customer (since 19 Jan 2026)
    • CF1 Director (AR) (since 19 Jan 2026)
    • [FCA CF] Significant management (since 26 Nov 2025)
    • [FCA CF] Client dealing (since 26 Nov 2025)
  • Philippe Huber

    IRN PXH01813

    • CF1 Director (AR) (since 13 Dec 2023)
    • CF30 Customer (since 13 Dec 2023)
    • [FCA CF] Client dealing (since 17 Oct 2023)
  • Philippe Olivier Jean Ribiere

    IRN POR01006

    • [FCA CF] Client dealing (22 Oct 2021 to 31 Aug 2022)
  • Philippe Vannier

    IRN PXV01167

    • [FCA CF] Client dealing (since 17 Mar 2026)
  • Pierre Martignoli

    IRN PXM01375

    • CF30 Customer (15 Jan 2016 to 4 Nov 2016)
  • Pratibha Jain

    IRN PXJ01392

    • CF30 Customer (20 Jan 2016 to 4 Nov 2016)
  • Raghav Subramanyam Kao

    IRN RXK00423

    • [FCA CF] Client dealing (27 Nov 2023 to 10 Jun 2025)
    • [FCA CF] Significant management (27 Nov 2023 to 10 Jun 2025)
  • Rhian Mari Thomas

    IRN RXT01152

    • CF30 Customer (since 16 Jan 2025)
    • CF1 Director (AR) (since 16 Jan 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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