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.

  • Karen Elaine Shackleton

    IRN KES01039

    • CF4 Partner (AR) (1 Mar 2013 to 19 Dec 2013)
    • CF1 Director (AR) (8 Feb 2013 to 19 Dec 2013)
    • CF30 Customer (8 Feb 2013 to 1 Jan 2014)
  • Katalin Partridge

    IRN SXK01274

    • CF1 Director (AR) (12 Apr 2018 to 31 Mar 2020)
    • CF3 Chief Executive (AR) (12 Apr 2018 to 31 Mar 2020)
    • CF30 Customer (27 Mar 2018 to 31 Mar 2020)
  • Kevin Stephen Pritchard

    IRN KSP01036

    • CF30 Customer (since 12 Jan 2023)
    • CF4 Partner (AR) (since 12 Jan 2023)
  • Khawaja Faisal Rafi

    IRN KFR01017

    • CF30 Customer (since 12 Jul 2024)
  • Konstantin Zakharyan

    IRN KXZ01021

    • CF1 Director (AR) (20 Aug 2024 to 24 Nov 2025)
    • CF3 Chief Executive (AR) (20 Aug 2024 to 24 Nov 2025)
    • CF30 Customer (20 Aug 2024 to 24 Nov 2025)
  • Lars Hagenbuch

    IRN LXH01154

    • CF30 Customer (since 2 Jul 2024)
    • CF1 Director (AR) (since 2 Jul 2024)
    • CF3 Chief Executive (AR) (since 2 Jul 2024)
  • Malcolm Frederick Green

    IRN MFG01049

    • CF30 Customer (18 Apr 2013 to 2 Jan 2014)
  • Marcus Lovell Smith

    IRN MXL01464

    • CF30 Customer (2 Jun 2008 to 31 Mar 2009)
    • CF29 Significant management (2 Jun 2008 to 18 Nov 2011)
    • CF4 Partner (2 Jun 2008 to 18 Nov 2011)
  • Mark Andrew Willis

    IRN MAW01328

    • CF30 Customer (23 May 2013 to 1 Jan 2014)
  • Mark Christopher Dormer

    IRN MCD01039

    • CF30 Customer (5 Dec 2014 to 5 May 2016)
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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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