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

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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.

• Olajumoke Owunoluwa Okeowo

  IRN OXO00110

  • [FCA CF] Client dealing (since 1 Nov 2023)
• Oliver James Hall

  IRN OXH00111

  • CF30 Customer (since 20 Jun 2025)
  • CF4 Partner (AR) (since 20 Jun 2025)
• Omer Granit

  IRN OXG01105

  • CF4 Partner (AR) (11 May 2021 to 4 Feb 2022)
  • CF30 Customer (11 May 2021 to 4 Feb 2022)
• Orkun Kilic

  IRN OXK01057

  • CF4 Partner (AR) (13 May 2025 to 27 Nov 2025)
  • CF30 Customer (13 May 2025 to 27 Nov 2025)
  • [FCA CF] Significant management (6 Mar 2025 to 28 Nov 2025)
  • [FCA CF] Client dealing (6 Mar 2025 to 28 Nov 2025)
• Patrick Gracey

  IRN PXG00479

  • CF1 Director (AR) (15 Feb 2025 to 20 Apr 2026)
• Patrick James Erikson Snelgar

  IRN PJS01418

  • CF1 Director (27 Mar 2015 to 25 Oct 2016)
  • CF30 Customer (1 Aug 2011 to 25 Oct 2016)
• Paul Andrew Quirk

  IRN PXQ00008

  • CF30 Customer (since 12 Apr 2024)
  • CF1 Director (AR) (since 12 Apr 2024)
  • [FCA CF] Significant management (since 24 Oct 2023)
  • [FCA CF] Client dealing (since 24 Oct 2023)
• Paul Antony Kitchen

  IRN PAK01063

  • [FCA CF] Client dealing (17 Oct 2022 to 5 Apr 2023)
• Paul George House

  IRN PGH01056

  • [FCA CF] Client dealing (since 25 Mar 2026)
  • [FCA CF] Significant management (since 25 Mar 2026)
  • [FCA CF] Material risk taker (since 25 Mar 2026)
• Paulino Lopez Fernandez

  IRN PLF01026

  • CF1 Director (AR) (since 13 Feb 2026)
  • CF30 Customer (since 13 Feb 2026)

• 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.