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.

• Rupert David Edward Parry

  IRN RXP06618

  • [FCA CF] Significant management (since 9 Mar 2026)
  • [FCA CF] Client dealing (since 9 Mar 2026)
• Ryan Packard

  IRN RXP00769

  • [FCA CF] Significant management (since 22 Dec 2025)
  • [FCA CF] Client dealing (since 22 Dec 2025)
• Samuel Yan-Ben Lee

  IRN SXL00343

  • CF2 Non Executive Director (AR) (28 Apr 2023 to 1 Mar 2024)
  • [FCA CF] Significant management (21 Jul 2022 to 22 Feb 2024)
  • CF30 Customer (9 Sep 2021 to 27 Feb 2024)
  • CF1 Director (AR) (9 Sep 2021 to 28 Apr 2023)
• Sanjay Mahtani

  IRN SXM00618

  • [FCA CF] Significant management (since 13 Aug 2025)
  • [FCA CF] Client dealing (since 13 Aug 2025)
• Sanmi Oluwaseun Adegoke

  IRN SXA00920

  • CF30 Customer (24 Mar 2024 to 24 Feb 2025)
  • CF1 Director (AR) (24 Mar 2024 to 24 Feb 2025)
  • [FCA CF] Client dealing (14 Mar 2024 to 24 Feb 2025)
  • [FCA CF] Significant management (14 Mar 2024 to 24 Feb 2025)
• Santiago Braje

  IRN SXB01980

  • [FCA CF] Client dealing (since 12 Mar 2026)
  • [FCA CF] Significant management (since 12 Mar 2026)
• Sarah Manno

  IRN SXM04499

  • CF30 Customer (16 Jun 2024 to 3 Jan 2025)
• Scott Christopher Jones

  IRN SCJ01061

  • CF30 Customer (since 1 Apr 2022)
  • [FCA CF] Client dealing (since 11 Feb 2022)
  • CF1 Director (AR) (1 Apr 2022 to 15 Jan 2026)
• Sean Murphy

  IRN SXM00780

  • [FCA CF] Client dealing (11 Nov 2025 to 31 Mar 2026)
  • [FCA CF] Significant management (11 Nov 2025 to 31 Mar 2026)
• Simon Anthony Crooks

  IRN SAC01263

  • [FCA CF] Client dealing (12 Jan 2023 to 27 Jun 2023)
  • [FCA CF] Significant management (12 Jan 2023 to 27 Jun 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.