CAPRICORN FUND MANAGERS LIMITED

• 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

• 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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 Hide limitations

  • · 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.

• 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)

• Quiddi Limited (no longer appointed)

  FRN 662033 · Appointed 23 Dec 2014 · Until 20 Jan 2016

• JMS CAPITAL LIMITED (no longer appointed)

  FRN 532239 · Appointed 23 Sep 2010 · Until 25 Apr 2013

No changes recorded yet.