Capita Life & Pensions Regulated Services Limited

• Principal Place of Business

  First Floor

  2 Kingdom Street

  Paddington

  London

  W2 6BD

  UNITED KINGDOM

  Phone

  +4402077991525

• Complaints Contact

  First Floor

  2 Kingdom Street

  Paddington

  London

  W2 6BD

  UNITED KINGDOM

  Phone

  +447500952012

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Funeral plan contract, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Stakeholder pension scheme

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

  Show 2 limitations Hide limitations

  • · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Debt Plan Admin

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.

• Neelkkanth Badriprasad Naiddu

  IRN NXN00084

  • [FCA CF] Functions requiring qualifications (25 Jul 2022 to 10 Nov 2023)
• Neil Fraser James Barry

  IRN NFB01011

  • Responsible for Insurance Mediation (14 Jan 2005 to 4 Apr 2005)
  • CF1 Director (27 Aug 2004 to 4 Apr 2005)
  • CF14 Risk Assessment (1 Jul 2004 to 21 Sep 2004)
  • CF8 Apportionment and Oversight (1 Jul 2004 to 4 Apr 2005)
• Neil John McRorie

  IRN NXM00097

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Feb 2021)
• Neil Jonathan Cantle

  IRN NJC00069

  • CF14 Risk Assessment (26 Nov 2002 to 19 Apr 2004)
  • CF11 Money Laundering Reporting (26 Nov 2002 to 12 Aug 2003)
• Nicholas David Sawtell

  IRN NXS00091

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2020)
• Nicola Carol Emily Dyas

  IRN NCD01015

  • CF26 Customer Trading (31 Jul 2003 to 4 Feb 2004)
• Nicola Claire Kirkwood

  IRN NCK01014

  • CF1 Director (1 Jul 2004 to 4 Apr 2005)
• Nicola Harris

  IRN NXH00088

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2020)
• Nicola Lynne Burgess

  IRN NLB01025

  • CF15 Internal Audit (10 May 2004 to 30 Jun 2004)
• Nicola Smith Buchanan Docherty

  IRN NXD00070

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Aug 2023)

• Capita Business Services Limited (no longer appointed)

  FRN 223063 · Appointed 12 Jan 2005 · Until 12 Feb 2015

No changes recorded yet.