Caxton Associates LLP

• Principal Place of Business

  20 Carlton House Terrace

  Floor 2

  London

  Westminster

  SW1Y 5AN

  UNITED KINGDOM

  Phone

  +442076470770

  Web

  https://www.caxton.com

• Complaints Contact

  Caxton Associates (USA) LLC

  280 Park Ave, 43rd Floor

  New York, NY 10017

  New York

  NY

  10017

  UNITED STATES OF AMERICA

  Phone

  +12123036578

• P2P Lending Advice

  For Eligible Counterparty, Professional

• 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Private Investment Funds

• Manages Your Portfolio

  For 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, Funeral plan contract, 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Michael David Bolitho

  IRN MDB01198

  • CF28 Systems and controls (7 Mar 2012 to 14 Jun 2013)
• Michael Denis Cavanagh

  IRN MDC01068

  • CF30 Customer (2 Dec 2009 to 2 Dec 2009)
• Michal Katrencik

  IRN MXK02262

  • [FCA CF] Client dealing (4 Dec 2023 to 25 Jun 2025)
• Michel Wahib Kikano

  IRN MWK01015

  • CF4 Partner (5 Feb 2014 to 30 Apr 2016)
  • CF30 Customer (19 May 2010 to 14 Sep 2017)
• Mudit Mehta

  IRN MXM02309

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jun 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (12 Jul 2016 to 8 Dec 2019)
• Naresh Kumar Bansal

  IRN NKB01022

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
• Natasha Newbold

  IRN NXN01190

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Sep 2020 to 2 Jan 2022)
  • SMF16 Compliance Oversight (30 Sep 2020 to 2 Jan 2022)
• Neil Alan Greenberg

  IRN NAG01062

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Jul 2022)
• Neshma Dipak Shah

  IRN NDS01069

  • CF30 Customer (23 Mar 2016 to 12 Mar 2018)
• Nicholas Geoffrey Calder Williams

  IRN NGW01022

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 5 Sep 2023)

No changes recorded yet.