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.

Richard Graham Catherwood Smith
IRN RGC01075
- SMF27 Partner (9 Dec 2019 to 21 Dec 2022)
- CF1 Director (AR) (8 Jun 2016 to 1 Jun 2023)
- CF3 Chief Executive (AR) (8 Jun 2016 to 1 Jun 2023)
- CF30 Customer (8 Jun 2016 to 1 Jun 2023)
- CF4 Partner (29 Nov 2007 to 16 Mar 2009)
- CF11 Money Laundering Reporting (29 Nov 2007 to 16 Mar 2009)
- CF10 Compliance Oversight (29 Nov 2007 to 16 Mar 2009)
Richard Lawrence Tray
IRN RLT01013
- CF30 Customer (31 Mar 2010 to 2 Sep 2010)
Richard Malpas
IRN RXM01405
- CF30 Customer (10 Dec 2013 to 3 Oct 2014)
Sean Quentin Glansbeek
IRN SXG00671
- CF2 Non Executive Director (AR) (since 2 Jul 2024)
Simon Adam Chen
IRN SAC01242
- CF30 Customer (23 Dec 2009 to 2 Sep 2010)
Stephen John Tyson
IRN SJT01138
- CF30 Customer (20 May 2013 to 3 Jan 2014)
Thiwanka Ranjeewa Hewage
IRN TXH84411
- CF1 Director (AR) (25 Nov 2022 to 12 May 2023)
- CF30 Customer (25 Nov 2022 to 12 May 2023)
- CF3 Chief Executive (AR) (25 Nov 2022 to 12 May 2023)
Thomas Emmanuel Chevillotte
IRN TEC01033
- CF3 Chief Executive (AR) (since 22 Jul 2024)
- CF1 Director (AR) (since 22 Jul 2024)
Thomas Kenneth Wynn Welch
IRN TKW01008
- CF30 Customer (since 24 Mar 2023)
- CF4 Partner (AR) (since 24 Mar 2023)
Timothy Charles McKay
IRN TCM01054
- CF30 Customer (20 Apr 2013 to 1 Jan 2014)

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.