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.

  • Edward George Alexander Browne

    IRN EGB01030

    • CF30 Customer (since 19 Feb 2026)
    • [FCA CF] Client dealing (since 26 Jan 2026)
  • Edward Llywd Batchelor

    IRN ELB01083

    • CF30 Customer (since 8 Apr 2025)
    • CF1 Director (AR) (since 8 Apr 2025)
    • [FCA CF] Significant management (since 24 Jan 2025)
    • [FCA CF] Client dealing (since 24 Jan 2025)
  • Elliot Jonathan Ernest Hall

    IRN EXH00392

    • CF4 Partner (AR) (since 20 Jun 2025)
    • CF30 Customer (since 20 Jun 2025)
  • Elliot Lawrence Hall

    IRN EXH00387

    • CF30 Customer (since 20 Jun 2025)
    • CF4 Partner (AR) (since 20 Jun 2025)
    • [FCA CF] Significant management (since 8 May 2025)
    • [FCA CF] Client dealing (since 8 May 2025)
  • Erik Johan Esselink

    IRN EJE01008

    • CF30 Customer (since 8 Dec 2025)
    • CF1 Director (AR) (since 8 Dec 2025)
    • [FCA CF] Significant management (since 20 Oct 2025)
    • [FCA CF] Client dealing (since 20 Oct 2025)
  • Eugene, San Yuen Lim

    IRN ESL01016

    • CF30 Customer (10 Feb 2017 to 26 Oct 2018)
  • Eva Holden

    IRN EXH00374

    • CF1 Director (AR) (since 17 Apr 2025)
  • Evan Gregory Hoff

    IRN EGH01023

    • CF2 Non Executive Director (26 Mar 2012 to 5 Aug 2016)
    • CF1 Director (26 Jul 2010 to 19 Mar 2012)
    • CF10 Compliance Oversight (26 Jul 2010 to 25 Aug 2011)
    • CF3 Chief Executive (26 Jul 2010 to 25 Aug 2011)
  • Farouk Miah

    IRN FXM25257

    • CF30 Customer (since 26 Aug 2021)
    • [FCA CF] Client dealing (since 26 Aug 2021)
    • CF4 Partner (AR) (since 26 Aug 2021)
  • Farrah Ruby Kunwar

    IRN FRK01007

    • CF30 Customer (since 13 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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