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

  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.

• 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.

• Vineet Mehta

  IRN VXM01174

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 19 Dec 2022)
• Viswanathan Ramachandran Chandramouli

  IRN VRC01004

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 Dec 2023)
• William Henry Potts

  IRN WHP01017

  • [FCA CF] Client dealing (since 16 Oct 2025)
  • [FCA CF] Material risk taker (since 16 Oct 2025)
• Xiaochen Zhao

  IRN XXZ18921

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Feb 2021)
  • CF30 Customer (19 Aug 2019 to 23 Aug 2019)
• Yannis Theodorakakos

  IRN YXT00049

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 21 Apr 2021)
• Yashwanth Reddy

  IRN YXR00012

  • [FCA CF] Material risk taker (2 Feb 2021 to 1 Jun 2021)
  • [FCA CF] Client dealing (2 Feb 2021 to 1 Jun 2021)
• Yun Ben Yap

  IRN YXY00077

  • [FCA CF] Client dealing (since 15 Jul 2025)
• Zixiao Yang

  IRN ZXY00009

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2022)

No changes recorded yet.