Embark Investment Services Limited

• Principal Place of Business

  Lloyds Banking Group, 33 Old Broad Street

  London

  City Of London

  EC2N 1HZ

  UNITED KINGDOM

  Phone

  +4403300242345

  Web

  https://scottishwidows.co.uk/platform

• Complaints Contact

  PO Box 24165

  Edinburgh

  EH3 1HD

  UNITED KINGDOM

  Phone

  +4403300242345

• 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 Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Structured Deposits, 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, 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.

• Insurance Admin

  For Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Structured Deposits, Unit, Warrant

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

• Trades With You Directly

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

  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.
  • · The firm is limited dealing as a principal in investments in the rights under the scheme(s) that it operates.

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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, Structured Deposits, 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.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, 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

  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.

• Anthony Jon Jacobs

  IRN AJJ01118

  • CF10a CASS Oversight function (31 Aug 2016 to 25 Aug 2017)
• Arthur David Cragg

  IRN ADC01184

  • SMF3 Executive Director (9 Dec 2019 to 13 Jul 2020)
  • CF11 Money Laundering Reporting (26 Feb 2016 to 30 Mar 2017)
  • CF10 Compliance Oversight (26 Feb 2016 to 30 Mar 2017)
  • CF1 Director (26 Feb 2016 to 8 Dec 2019)
• Bhavnik Dave

  IRN BXD00149

  • [FCA CF] Material risk taker (1 Mar 2022 to 31 Dec 2023)
• Carrie Ann Hughes

  IRN CXK00215

  • [FCA CF] Significant management (3 Apr 2023 to 31 Oct 2024)
  • [FCA CF] Manager of certification employee (3 Apr 2023 to 24 Apr 2024)
• Catherine Lucy Turner

  IRN CLT01048

  • SMF7 Group Entity Senior Manager (since 1 Sep 2024)
• Chirantan Barua

  IRN CXB01971

  • SMF3 Executive Director (since 1 Sep 2024)
  • SMF1 Chief Executive (since 1 Sep 2024)
  • Responsible for Insurance Distribution (since 1 Sep 2024)
• Christopher John Ferguson

  IRN CXF00265

  • [FCA CF] Functions requiring qualifications (7 Nov 2022 to 22 Apr 2024)
• Christopher John George Moulder

  IRN CJM01477

  • SMF9 Chair of the Governing Body (since 23 Dec 2025)
  • SMF14 Senior Independent Director (since 1 Sep 2024)
  • SMF11 Chair of the Audit Committee (1 Sep 2024 to 31 Oct 2025)
• Clare Beale

  IRN CXB33165

  • SMF4 Chief Risk (1 Sep 2024 to 13 Dec 2024)
• Craig James Dick

  IRN CJD01082

  • [FCA CF] Client dealing (since 31 Jan 2021)
  • [FCA CF] Manager of certification employee (since 31 Jan 2021)
  • [FCA CF] Material risk taker (1 Jan 2022 to 12 Dec 2023)
  • [FCA CF] Functions requiring qualifications (31 Jan 2021 to 28 Jan 2022)

No changes recorded yet.