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.

• Simon Christopher Rowan

  IRN SXR01460

  • CF30 Customer (28 Jul 2022 to 7 Oct 2025)
• Simon James Milledge

  IRN SJM01535

  • CF30 Customer (10 Nov 2022 to 4 Apr 2024)
  • CF1 Director (AR) (10 Nov 2022 to 4 Apr 2024)
  • [FCA CF] Significant management (7 Oct 2022 to 5 Apr 2024)
  • [FCA CF] Client dealing (7 Oct 2022 to 5 Apr 2024)
• Stefano Sciacca

  IRN SXS14203

  • CF30 Customer (since 20 Mar 2025)
  • CF1 Director (AR) (since 20 Mar 2025)
• Stephen Allan White

  IRN SAW01103

  • [FCA CF] Significant management (since 9 Oct 2023)
  • [FCA CF] Client dealing (since 9 Oct 2023)
  • CF30 Customer (since 11 Jul 2023)
  • CF1 Director (AR) (since 11 Jul 2023)
• Steven Cliff Bartlett

  IRN SXB00904

  • CF30 Customer (since 28 Apr 2022)
  • CF4 Partner (AR) (since 28 Apr 2022)
  • [FCA CF] Client dealing (21 Apr 2022 to 27 Feb 2026)
• Steven Penketh

  IRN SJP01293

  • CF3 Chief Executive (AR) (since 16 Jan 2025)
  • CF30 Customer (since 16 Jan 2025)
  • CF1 Director (AR) (since 16 Jan 2025)
  • [FCA CF] Significant management (since 15 Nov 2024)
  • [FCA CF] Client dealing (since 15 Nov 2024)
• Stuart Roy Dixon

  IRN SRD01045

  • [FCA CF] Client dealing (since 19 Jan 2023)
  • Director of firm who is not a certification employee or a SMF manager (since 14 Sep 2020)
• Stéphane Jean Désiré Collot

  IRN SXC03210

  • [FCA CF] Client dealing (since 11 Mar 2026)
• Sujay Kodlikeri

  IRN SPK01058

  • [FCA CF] Client dealing (18 Oct 2022 to 19 Jun 2023)
• Surojit Chakraverti

  IRN SXC02753

  • [FCA CF] Client dealing (since 19 Dec 2025)
  • [FCA CF] Significant management (since 19 Dec 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.