Exception Capital LLP

Date authorised
1 April 2013
Companies House
OC327590
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    52 Debden Road
    Saffron Walden
    Essex
    CB11 4AB
    UNITED KINGDOM
    Phone
    +4401799510715
    Web
    https://www.exceptioncapital.com

  • Complaints Contact

    52 Debden Road
    Saffron Walden
    Essex
    CB11 4AB
    UNITED KINGDOM

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

    Show 1 limitation
    • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

    Show 1 limitation
    • · 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Adam James Coals

    IRN AJC01341

    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Adrian Fairbourn

    IRN AXF01131

    • SMF16 Compliance Oversight (since 19 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF30 Customer (29 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (29 Nov 2007 to 31 Mar 2009)
    • CF3 Chief Executive (29 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (29 Nov 2007 to 8 Dec 2019)
  • Alan George Saunders

    IRN AGS01056

    • CF30 Customer (11 Feb 2013 to 1 Jan 2014)
  • Alastair Murray Haddow

    IRN AMH01076

    • CF30 Customer (14 Feb 2013 to 1 Jan 2014)
  • Aled Rhys Jenkins

    IRN ARJ01076

    • CF30 Customer (since 12 Jan 2023)
    • CF4 Partner (AR) (since 12 Jan 2023)
  • Alick Stevenson

    IRN AXS01857

    • CF30 Customer (13 Feb 2013 to 1 Jan 2014)
  • Anthony Harvey Yadgaroff

    IRN AHY00001

    • CF4 Partner (AR) (1 Mar 2013 to 7 Jan 2014)
    • CF30 Customer (19 Feb 2013 to 7 Jan 2014)
  • Antoine Megarbane

    IRN ACM01205

    • CF1 Director (AR) (since 16 Jul 2024)
    • CF30 Customer (since 16 Jul 2024)
  • Benedicte Brigitte Micheline Rabier

    IRN BBR01008

    • CF30 Customer (16 Sep 2013 to 1 Jan 2014)
  • Blake Gethin Wooster

    IRN BXW00282

    • CF30 Customer (since 1 May 2024)
    • CF1 Director (AR) (since 1 May 2024)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

Updates to this firm's record on the FCA register.

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