Capricorn Private Investments Limited

• Principal Place of Business

  30 St. George Street,

  London

  W1S 2FH

  UNITED KINGDOM

  Phone

  +4402073174427

  Web

  https://www.capricornprivateinvestments.com

• Complaints Contact

  Second Floor, Malta House,

  36-38 Piccadilly,

  London

  W1J 0DP

  UNITED KINGDOM

  Phone

  +4402073174427

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Structured Deposits, 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, 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, Structured Deposits, 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, 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, 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, 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, Structured Deposits, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Structured Deposits, 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.

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, 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, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Andrew Geoffrey Hargreaves White

  IRN AGW01110

  • [FCA CF] Client dealing (since 19 Apr 2024)
• Gwilym Gwyther Thomas

  IRN GGT01015

  • [FCA CF] Client dealing (since 3 Jul 2023)
  • SMF3 Executive Director (since 27 Mar 2023)
• Manoj Soni

  IRN MXS01490

  • [FCA CF] Client dealing (since 3 Jul 2023)
  • SMF3 Executive Director (since 27 Mar 2023)
• Marko Vuckovic

  IRN MXV01277

  • [FCA CF] Client dealing (3 Jul 2023 to 28 Jun 2024)
  • SMF3 Executive Director (27 Mar 2023 to 28 Jun 2024)
• Mundeep Singh Bahra

  IRN MXB01352

  • [FCA CF] Client dealing (since 7 May 2024)
• Philippa Bonsall

  IRN PRB01190

  • [FCA CF] Client dealing (since 19 Apr 2024)
• Robert Jay Gottlieb

  IRN RJG01219

  • SMF3 Executive Director (since 9 Jan 2024)
• Stuart Roy Dixon

  IRN SRD01045

  • SMF3 Executive Director (since 27 Mar 2023)
  • SMF16 Compliance Oversight (since 27 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2023)

No changes recorded yet.