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

  Show 1 limitation Hide limitations

  • · 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

  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 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.

• 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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.

• Judith Nicol

  IRN JMN01078

  • [FCA CF] CASS oversight function (3 Aug 2023 to 1 Nov 2024)
  • [FCA CF] Material risk taker (1 May 2023 to 1 Nov 2024)
  • [FCA CF] Significant management (1 Nov 2022 to 1 Nov 2024)
  • [FCA CF] Manager of certification employee (1 Nov 2022 to 1 Nov 2024)
• Julie Mary Baxter

  IRN JXB00955

  • [FCA CF] Material risk taker (5 Jan 2022 to 31 Dec 2022)
  • [FCA CF] Manager of certification employee (5 Jan 2022 to 31 Dec 2022)
  • [FCA CF] Significant management (5 Jan 2022 to 31 Dec 2022)
• Julien Kerr

  IRN JXK07042

  • SMF17 Money Laundering Reporting Officer (MLRO) (22 May 2020 to 23 Jul 2024)
• Karen Margaret O'Donnell

  IRN KXO00110

  • [FCA CF] Functions requiring qualifications (1 Sep 2022 to 15 Feb 2023)
• Kay Samantha Smith

  IRN KXS33472

  • [FCA CF] Significant management (31 Jan 2021 to 6 Sep 2022)
  • [FCA CF] Material risk taker (31 Jan 2021 to 6 Sep 2022)
• Kevin Doran

  IRN KXD01102

  • SMF18 Other Overall Responsibility (1 Apr 2025 to 31 Oct 2025)
  • [FCA CF] Material risk taker (2 Sep 2024 to 2 Apr 2025)
• Kevin John Whitmore

  IRN KJW01140

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 May 2020)
  • CF11 Money Laundering Reporting (4 Jul 2018 to 8 Dec 2019)
• Kirstie Emma Russell

  IRN KER01037

  • [FCA CF] Material risk taker (1 Jan 2022 to 30 Dec 2022)
  • [FCA CF] Manager of certification employee (1 May 2021 to 30 Dec 2022)
  • [FCA CF] Significant management (1 May 2021 to 30 Dec 2022)
• Kirstine Ann Cooper

  IRN KAC01088

  • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2024)
• Kirsty Alice Margaret Keith

  IRN KXK00261

  • [FCA CF] Functions requiring qualifications (15 Aug 2022 to 1 Jul 2023)

No changes recorded yet.