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.

  • James Michael Walker

    IRN JMW01148

    • CF30 Customer (11 Nov 2022 to 4 Apr 2024)
  • James Nicholas Lazarus

    IRN JXL00378

    • CF30 Customer (20 Jul 2021 to 20 Feb 2023)
    • CF1 Director (AR) (20 Jul 2021 to 20 Feb 2023)
  • James Robert Cunniffe

    IRN JRC01293

    • [FCA CF] Client dealing (27 Dec 2023 to 12 Jul 2024)
  • Jason Alexander Scott

    IRN JXS00806

    • [FCA CF] Client dealing (13 Dec 2022 to 12 Oct 2023)
    • CF30 Customer (11 Jan 2022 to 12 Oct 2023)
  • Jason Joshua Mahendran

    IRN JJM01245

    • [FCA CF] Significant management (since 31 Oct 2025)
    • [FCA CF] Client dealing (since 31 Oct 2025)
    • CF4 Partner (AR) (since 21 Aug 2025)
    • CF3 Chief Executive (AR) (since 21 Aug 2025)
    • CF30 Customer (since 21 Aug 2025)
  • Jason Sion Bartlett

    IRN JXB01060

    • CF30 Customer (since 4 May 2022)
    • CF4 Partner (AR) (since 4 May 2022)
    • [FCA CF] Client dealing (since 21 Apr 2022)
    • [FCA CF] Significant management (since 21 Apr 2022)
  • Jeffrey Robert Harwood

    IRN JRH01111

    • CF30 Customer (since 10 Dec 2023)
    • CF1 Director (AR) (since 10 Dec 2023)
    • [FCA CF] Client dealing (since 14 Nov 2023)
  • Jeffrey Twentyman

    IRN JXT00748

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

    IRN JDL01032

    • CF1 Director (AR) (since 19 Mar 2026)
    • CF30 Customer (since 19 Mar 2026)
    • [FCA CF] Client dealing (since 6 Feb 2026)
    • [FCA CF] Significant management (since 6 Feb 2026)
  • Jocelyn Timothy Trusted

    IRN JTT01008

    • CF30 Customer (2 Aug 2022 to 23 Aug 2023)
    • CF4 Partner (AR) (2 Aug 2022 to 23 Aug 2023)
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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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