Exception Capital LLP

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FRN: 473719
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
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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, 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
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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.
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
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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, 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
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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.
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 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.

Approved individuals

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

Martin Charles Walton
IRN MCW01047
- CF4 Partner (29 Nov 2007 to 18 Nov 2011)
- CF30 Customer (29 Nov 2007 to 31 Mar 2009)
Neil Warrender
IRN NRW01052
- [FCA CF] Significant management (since 9 Dec 2019)
- [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
- CF10 Compliance Oversight (23 Mar 2009 to 12 Oct 2019)
- CF4 Partner (23 Mar 2009 to 12 Oct 2019)
- CF11 Money Laundering Reporting (23 Mar 2009 to 12 Oct 2019)
Oded Lahav
IRN OXL01072
- CF30 Customer (21 Feb 2013 to 7 Jan 2014)
- CF1 Director (AR) (21 Feb 2013 to 7 Jan 2014)
- CF3 Chief Executive (AR) (21 Feb 2013 to 7 Jan 2014)
Patricia Marie O'Loughlin
IRN PMO01035
- CF30 Customer (17 Sep 2013 to 1 Jan 2014)
Peter Anthony Davies
IRN PAD00015
- CF30 Customer (10 Jul 2013 to 1 Jan 2014)
Peter Anthony Murray
IRN PAM01207
- CF30 Customer (11 Feb 2013 to 2 Jan 2014)
Philip Hebson
IRN PXH01837
- CF30 Customer (12 Feb 2013 to 2 Jan 2014)
Philip John Williams
IRN PJW01118
- CF30 Customer (11 Feb 2013 to 19 Dec 2013)
Philip Richard O'Neill
IRN PRO01017
- CF30 Customer (6 Dec 2013 to 3 Oct 2014)
Rasmus Frokiaer Ankersen
IRN RXA00460
- CF1 Director (AR) (since 1 May 2024)
- CF30 Customer (since 1 May 2024)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Saphira Group (Advisory) Limited (no longer appointed)
FRN 804102 · Appointed 15 Mar 2018 · Until 31 Mar 2020
The Boars Club Limited (no longer appointed)
FRN 801101 · Appointed 8 Feb 2018 · Until 12 Oct 2019
Smith HamiltonPartners Ltd (no longer appointed)
FRN 747415 · Appointed 18 May 2016 · Until 6 Jun 2023
Sapeno Partners LLP (no longer appointed)
FRN 611042 · Appointed 1 Dec 2013 · Until 6 Oct 2014
Allenbridge Investment Solutions LLP (no longer appointed)
FRN 579431 · Appointed 6 Feb 2013 · Until 23 Dec 2013
Apex Investment Advisers Limited (no longer appointed)
FRN 539747 · Appointed 6 Feb 2013 · Until 23 Dec 2013
Traycer LLP (no longer appointed)
FRN 518733 · Appointed 26 Feb 2010 · Until 13 Sep 2010

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.