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.

• Robert Noble

  IRN RXN00254

  • CF1 Director (AR) (15 Feb 2025 to 20 Apr 2026)
• Robert Quinn

  IRN RXQ01028

  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Jan 2020)
  • CF10 Compliance Oversight (28 Mar 2019 to 8 Dec 2019)
• Roger Philip Weaver

  IRN RPW01087

  • CF30 Customer (22 Mar 2022 to 14 Jul 2022)
  • CF1 Director (AR) (22 Mar 2022 to 14 Jul 2022)
  • [FCA CF] Significant management (13 Jul 2021 to 19 Jul 2022)
• Rohan Rajendra Agarwal

  IRN RXA00365

  • CF1 Director (AR) (since 16 Jan 2023)
  • CF30 Customer (since 16 Jan 2023)
  • [FCA CF] Significant management (since 28 Nov 2022)
  • [FCA CF] Client dealing (since 28 Nov 2022)
• Rollo Hesketh-Harvey

  IRN RXH00367

  • CF30 Customer (since 9 Apr 2025)
  • [FCA CF] Client dealing (16 Jan 2025 to 22 Jan 2026)
• Ronen Capeluto

  IRN RXC00603

  • [FCA CF] Client dealing (17 Feb 2023 to 5 Feb 2026)
• Ronen Torem

  IRN RXT00308

  • CF30 Customer (12 Jan 2023 to 16 Apr 2025)
  • CF1 Director (AR) (12 Jan 2023 to 16 Apr 2025)
• Ronnie Porter

  IRN RXP01561

  • CF1 Director (AR) (since 21 Jan 2021)
  • CF30 Customer (since 21 Jan 2021)
  • [FCA CF] Client dealing (since 24 Dec 2020)
• Ross James Fitzsimon

  IRN RXF01307

  • [FCA CF] Client dealing (23 May 2022 to 19 Jun 2023)
• Ross Lavery

  IRN RXL01345

  • [FCA CF] Significant management (since 4 Nov 2025)
  • [FCA CF] Client dealing (since 4 Nov 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.