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

  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.

• 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.

• Samuel Hancock

  IRN SXH02799

  • CF30 Customer (1 Sep 2016 to 2 Feb 2018)
• Sanatan Rai

  IRN SXR01603

  • [FCA CF] Client dealing (since 18 Aug 2023)
  • [FCA CF] Client dealing (1 Jul 2021 to 2 Nov 2022)
• Scott Bennett Bernstein

  IRN SBB01027

  • CF10 Compliance Oversight (5 Jun 2017 to 21 Sep 2018)
  • CF11 Money Laundering Reporting (5 Jun 2017 to 21 Sep 2018)
• Scott Sloman

  IRN SXS02162

  • CF30 Customer (21 Jul 2011 to 11 Aug 2017)
• Selim Adyel

  IRN SXA03040

  • CF30 Customer (3 Dec 2018 to 6 Dec 2019)
• Sikko Pieter van 't Klooster

  IRN SPV01023

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jun 2024)
  • CF30 Customer (1 May 2018 to 8 Dec 2019)
• Simon Joseph Smidt

  IRN SJS01277

  • CF30 Customer (5 Oct 2015 to 5 Apr 2019)
• Siobhan Clack

  IRN SXC00114

  • [FCA CF] Client dealing (since 27 Jan 2026)
• Stavros Valavanis

  IRN SXV00075

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 24 Dec 2020)
  • [FCA CF] Material risk taker (24 Dec 2020 to 26 Jul 2022)
• Stefano Giuliani

  IRN SXG01609

  • CF30 Customer (4 Nov 2014 to 8 Dec 2019)

No changes recorded yet.