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.

  • Andrew David Birrell

    IRN AXB70744

    • CF1 Director (AR) (13 Jul 2021 to 20 Nov 2024)
    • CF30 Customer (13 Jul 2021 to 20 Nov 2024)
  • Andrew Gordon Fraser

    IRN AGF01020

    • CF1 Director (AR) (since 9 Oct 2023)
    • CF30 Customer (since 9 Oct 2023)
    • [FCA CF] Client dealing (since 1 Aug 2023)
    • [FCA CF] Significant management (since 1 Aug 2023)
  • Andrey Pavlichenkov

    IRN AXP02245

    • CF30 Customer (13 Feb 2023 to 4 Apr 2024)
    • CF1 Director (AR) (13 Feb 2023 to 4 Apr 2024)
    • [FCA CF] Client dealing (7 Oct 2022 to 5 Apr 2024)
  • Andries De Lange

    IRN AXD00223

    • CF1 Director (AR) (since 18 Feb 2021)
  • Anil Akpinar

    IRN AXA01016

    • [FCA CF] Client dealing (since 5 Feb 2024)
  • Anthony Oliver Hogg

    IRN AXH80617

    • CF30 Customer (since 24 Mar 2024)
    • CF1 Director (AR) (since 24 Mar 2024)
    • CF3 Chief Executive (AR) (since 24 Mar 2024)
    • [FCA CF] Client dealing (since 6 Mar 2024)
    • [FCA CF] Significant management (since 6 Mar 2024)
  • Anuradha Narayan Pohani

    IRN ANP01057

    • CF2 Non Executive Director (AR) (4 Jan 2023 to 20 Nov 2024)
    • CF30 Customer (13 Jul 2021 to 20 Nov 2024)
    • CF1 Director (AR) (13 Jul 2021 to 4 Jan 2023)
  • Anya Elizabeth Hayden

    IRN AXH00538

    • CF30 Customer (19 Aug 2021 to 16 Dec 2024)
    • CF4 Partner (AR) (19 Aug 2021 to 16 Dec 2024)
    • [FCA CF] Client dealing (19 Aug 2021 to 16 Dec 2024)
    • [FCA CF] Significant management (19 Aug 2021 to 16 Dec 2024)
  • Arne Hassel

    IRN KAH01041

    • CF4 Partner (AR) (since 13 Jul 2024)
    • CF30 Customer (since 13 Jul 2024)
    • [FCA CF] Significant management (since 25 Jun 2024)
    • [FCA CF] Client dealing (since 25 Jun 2024)
  • Arsham Mahmood Awan

    IRN AXA00408

    • [FCA CF] Client dealing (13 Jul 2021 to 8 Sep 2022)
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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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