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.

  • Brian Robert Moran

    IRN BXM00440

    • CF30 Customer (24 Mar 2024 to 24 Feb 2025)
    • [FCA CF] Client dealing (8 Mar 2024 to 24 Feb 2025)
  • Carl Hodson-Thomas

    IRN CXH00955

    • CF30 Customer (since 17 Dec 2025)
    • CF1 Director (AR) (since 17 Dec 2025)
    • [FCA CF] Significant management (since 28 Oct 2025)
    • [FCA CF] Client dealing (since 28 Oct 2025)
  • Charles Alistair Neilson Butler

    IRN CAB01317

    • CF30 Customer (13 Nov 2020 to 20 Feb 2024)
    • CF1 Director (AR) (13 Nov 2020 to 20 Feb 2024)
  • Charles Mark Broadley

    IRN CXB01172

    • CF3 Chief Executive (AR) (since 19 Feb 2026)
    • CF30 Customer (since 19 Feb 2026)
  • Charles Ofori-Agyemang

    IRN CXO01134

    • [FCA CF] Significant management (13 Jan 2024 to 24 May 2024)
    • [FCA CF] Client dealing (13 Jan 2024 to 24 May 2024)
  • Cheuk Shing Au

    IRN CXA00229

    • [FCA CF] Client dealing (12 Jul 2022 to 25 Apr 2023)
  • Chit Alvin Chan

    IRN CXC00390

    • CF30 Customer (14 Sep 2021 to 2 Jun 2025)
    • CF1 Director (AR) (14 Sep 2021 to 2 Jun 2025)
    • [FCA CF] Client dealing (26 Jul 2021 to 3 Jan 2025)
  • Christyan Fawzi Malek

    IRN CXM01553

    • CF30 Customer (since 19 Feb 2026)
    • CF1 Director (AR) (since 19 Feb 2026)
    • [FCA CF] Client dealing (since 23 Dec 2025)
    • [FCA CF] Significant management (since 23 Dec 2025)
  • Chude Chidi-Ofong

    IRN CXC01265

    • CF2 Non Executive Director (AR) (since 26 Aug 2021)
  • Clark Jordan Nicholls

    IRN CJN01048

    • CF30 Customer (since 10 Apr 2026)
    • CF1 Director (AR) (since 10 Apr 2026)
    • [FCA CF] Client dealing (since 6 Feb 2026)
    • [FCA CF] Significant management (since 6 Feb 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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