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.

• Riaz Khan

  IRN RMK01071

  • [FCA CF] Client dealing (since 9 Dec 2025)
• Richard Adriaan Böttger

  IRN RXB00714

  • [FCA CF] Significant management (17 Oct 2022 to 25 Oct 2022)
  • [FCA CF] Client dealing (17 Oct 2022 to 25 Oct 2022)
• Richard Anthony Crookes

  IRN RXC00030

  • CF30 Customer (since 12 Apr 2024)
  • CF1 Director (AR) (since 12 Apr 2024)
• Richard David Harpin

  IRN RDH01078

  • CF4 Partner (AR) (since 1 Dec 2025)
• Richard Reed

  IRN RXR00268

  • CF4 Partner (AR) (2 Dec 2022 to 2 May 2024)
  • CF30 Customer (2 Dec 2022 to 2 May 2024)
  • [FCA CF] Client dealing (21 Oct 2022 to 7 May 2024)
• Richard Warren Bains

  IRN RWB01061

  • CF1 Director (AR) (since 17 Apr 2025)
• Robert Andrew Hall

  IRN RXH00392

  • CF1 Director (AR) (10 Aug 2021 to 20 Feb 2023)
  • CF30 Customer (10 Aug 2021 to 20 Feb 2023)
• Robert James Marshall-lee

  IRN RJM01179

  • CF30 Customer (26 Jul 2022 to 23 Aug 2023)
  • CF4 Partner (AR) (26 Jul 2022 to 23 Aug 2023)
  • [FCA CF] Client dealing (23 Jun 2022 to 19 Apr 2024)
  • [FCA CF] Significant management (23 Jun 2022 to 19 Apr 2024)
• Robert Jay Gottlieb

  IRN RJG01219

  • Director of firm who is not a certification employee or a SMF manager (since 12 Apr 2024)
  • [FCA CF] Client dealing (since 1 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 12 Apr 2024)
  • Responsible for Insurance Mediation (10 Sep 2013 to 3 Aug 2016)
  • CF1 Director (1 Aug 2011 to 8 Dec 2019)
  • CF30 Customer (1 Aug 2011 to 8 Dec 2019)
  • CF3 Chief Executive (1 Aug 2011 to 28 Aug 2019)
  • CF11 Money Laundering Reporting (1 Aug 2011 to 28 May 2019)
  • CF10 Compliance Oversight (1 Aug 2011 to 28 May 2019)
• Robert Lane

  IRN RGL01026

  • [FCA CF] Client dealing (since 31 Jul 2025)

• 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.