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.

• Andrew Eric Law

  IRN AEL01032

  • [FCA CF] Material risk taker (since 26 Jul 2022)
  • [FCA CF] Client dealing (since 26 Jul 2022)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF27 Partner (9 Dec 2019 to 16 Aug 2022)
  • CF3 Chief Executive (23 May 2014 to 8 Dec 2019)
  • CF4 Partner (17 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (2 Dec 2009 to 8 Dec 2019)
• Andrew John Hill

  IRN AJH01576

  • CF30 Customer (18 Dec 2009 to 10 May 2013)
• Andrew Wick

  IRN AXW01880

  • CF30 Customer (13 Jun 2011 to 9 Nov 2018)
• Anil Kamath

  IRN AXK01643

  • SMF27 Partner (since 21 Apr 2026)
  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Nov 2022)
  • CF30 Customer (29 Dec 2016 to 8 Dec 2019)
• Anthony Hosey

  IRN AXH00757

  • [FCA CF] Client dealing (1 Apr 2022 to 15 Jan 2024)
• Anvay Upadhye

  IRN AXU23579

  • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (11 Nov 2019 to 8 Dec 2019)
• Aram Darakchian

  IRN AXD00793

  • [FCA CF] Client dealing (since 23 Aug 2021)
• Arjuna Shanaka Gamage

  IRN ASG01045

  • [FCA CF] Material risk taker (since 11 Jul 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (22 Aug 2011 to 8 Dec 2019)
• Austin Terence Brown

  IRN ATB01059

  • CF30 Customer (16 Apr 2012 to 10 May 2013)
• Benjamin Ohly

  IRN BXO00076

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Aug 2023)
  • SMF16 Compliance Oversight (since 1 Aug 2023)

No changes recorded yet.