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.

  • 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)
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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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