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.

• Brian Robert Moran

  IRN BXM00440

  • CF30 Customer (24 Mar 2024 to 24 Feb 2025)
  • [FCA CF] Client dealing (8 Mar 2024 to 24 Feb 2025)
• Carl Hodson-Thomas

  IRN CXH00955

  • CF30 Customer (since 17 Dec 2025)
  • CF1 Director (AR) (since 17 Dec 2025)
  • [FCA CF] Significant management (since 28 Oct 2025)
  • [FCA CF] Client dealing (since 28 Oct 2025)
• Charles Alistair Neilson Butler

  IRN CAB01317

  • CF30 Customer (13 Nov 2020 to 20 Feb 2024)
  • CF1 Director (AR) (13 Nov 2020 to 20 Feb 2024)
• Charles Mark Broadley

  IRN CXB01172

  • CF3 Chief Executive (AR) (since 19 Feb 2026)
  • CF30 Customer (since 19 Feb 2026)
• Charles Ofori-Agyemang

  IRN CXO01134

  • [FCA CF] Significant management (13 Jan 2024 to 24 May 2024)
  • [FCA CF] Client dealing (13 Jan 2024 to 24 May 2024)
• Cheuk Shing Au

  IRN CXA00229

  • [FCA CF] Client dealing (12 Jul 2022 to 25 Apr 2023)
• Chit Alvin Chan

  IRN CXC00390

  • CF30 Customer (14 Sep 2021 to 2 Jun 2025)
  • CF1 Director (AR) (14 Sep 2021 to 2 Jun 2025)
  • [FCA CF] Client dealing (26 Jul 2021 to 3 Jan 2025)
• Christyan Fawzi Malek

  IRN CXM01553

  • CF30 Customer (since 19 Feb 2026)
  • CF1 Director (AR) (since 19 Feb 2026)
  • [FCA CF] Client dealing (since 23 Dec 2025)
  • [FCA CF] Significant management (since 23 Dec 2025)
• Chude Chidi-Ofong

  IRN CXC01265

  • CF2 Non Executive Director (AR) (since 26 Aug 2021)
• Clark Jordan Nicholls

  IRN CJN01048

  • CF30 Customer (since 10 Apr 2026)
  • CF1 Director (AR) (since 10 Apr 2026)
  • [FCA CF] Client dealing (since 6 Feb 2026)
  • [FCA CF] Significant management (since 6 Feb 2026)

• 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.