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.

• Thomas Harold George Mackintosh

  IRN TXH00502

  • CF2 Non Executive Director (AR) (since 8 Apr 2025)
• Thomas Henry Roberts

  IRN THR01019

  • [FCA CF] Client dealing (since 9 Mar 2026)
• Tikshananshu Kumar

  IRN TXK75063

  • [FCA CF] Client dealing (22 Jul 2022 to 25 Apr 2023)
• Timon Kai Van Rensburg

  IRN TXV00105

  • CF30 Customer (since 19 Mar 2026)
  • [FCA CF] Client dealing (since 6 Feb 2026)
• Timothy Keevil

  IRN TXK00317

  • CF1 Director (AR) (since 31 Oct 2025)
  • CF30 Customer (since 31 Oct 2025)
  • [FCA CF] Client dealing (since 8 Oct 2025)
  • [FCA CF] Significant management (since 8 Oct 2025)
• Tomasz Mazur

  IRN TXM00073

  • CF30 Customer (29 Apr 2024 to 12 Mar 2025)
• Tsz Hei Ching

  IRN TXC00237

  • [FCA CF] Client dealing (1 Dec 2021 to 14 Sep 2022)
• Utku Yurday

  IRN UXY01005

  • [FCA CF] Client dealing (since 1 Oct 2024)
  • CF30 Customer (since 21 Aug 2023)
• Victor Rivera Garcia

  IRN VXR00103

  • CF30 Customer (since 20 Mar 2025)
  • CF1 Director (AR) (since 20 Mar 2025)
• Victoria Ebbon

  IRN VXE00026

  • CF1 Director (AR) (since 21 Apr 2023)
  • CF30 Customer (since 21 Apr 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.