Heptagon Capital LLP

• Principal Place of Business

  63 Brook Street

  London

  W1K 4HS

  UNITED KINGDOM

  Phone

  +4402070701800

  Web

  https://www.heptagon-capital.com

• Complaints Contact

  63 Brook Street

  London

  W1K 4HS

  UNITED KINGDOM

  Phone

  +4402070701800

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

  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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

  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.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

  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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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), Share, Unit

  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.

• . Cheyne Equity Partners Ltd

  IRN XXC01018

  • CF4 Partner (28 Jul 2005 to 27 Nov 2019)
• . Heptagon Capital Management Ltd

  IRN XXH01011

  • CF4 Partner (28 Jul 2005 to 27 Nov 2019)
• Alexander James Gunz

  IRN AJG01179

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF30 Customer (17 Jan 2011 to 8 Dec 2019)
• Amr Nabil Seif

  IRN ANS01021

  • CF30 Customer (5 Jul 2017 to 8 Dec 2019)
• Arnaud Henry Honore Gandon

  IRN AXG01307

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF30 Customer (2 Aug 2010 to 8 Dec 2019)
• Charlotte Sargent

  IRN CXS02459

  • [FCA CF] Client dealing (since 31 Jan 2023)
• Christian Carl Ulrich Diebitsch

  IRN CCD01007

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Jan 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • CF30 Customer (24 Jul 2014 to 8 Dec 2019)
• Christoffer Carl Fallenius

  IRN CXF01111

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF4 Partner (22 Mar 2013 to 27 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Feb 2006 to 31 Oct 2007)
• Daniel Too

  IRN DXT00357

  • [FCA CF] Client dealing (since 10 May 2024)
• David Bloch

  IRN DXB02669

  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Mar 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2025)
  • CF30 Customer (22 Jun 2016 to 8 Dec 2019)

No changes recorded yet.