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

  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.

• Komal Patel

  IRN KXP00163

  • [FCA CF] Manager of certification employee (11 Dec 2023 to 31 Dec 2023)
  • [FCA CF] Material risk taker (1 Jan 2022 to 31 Dec 2023)
  • [FCA CF] Significant management (31 Jan 2021 to 31 Dec 2023)
• Kwaku Osafo

  IRN KXO00074

  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Jul 2024 to 10 Mar 2026)
• Laura Vaughan

  IRN LXV44242

  • [FCA CF] Manager of certification employee (since 6 Nov 2024)
• Louisa Barbara Mary King

  IRN LBE00004

  • SMF16 Compliance Oversight (since 1 Sep 2024)
  • SMF4 Chief Risk (21 Oct 2022 to 31 Aug 2024)
• Lucy Jane Bristow

  IRN LJB01196

  • CF3 Chief Executive (6 Mar 2017 to 26 Jan 2018)
  • CF1 Director (6 Mar 2017 to 26 Jan 2018)
• Manuel Angel Pardavila Gonzalez

  IRN MAG01274

  • SMF18 Other Overall Responsibility (since 26 Nov 2025)
  • [FCA CF] Manager of certification employee (2 Apr 2025 to 3 Apr 2025)
  • SMF18 Other Overall Responsibility (18 Dec 2023 to 31 Mar 2025)
• Maria Carmen Herrero Bullich

  IRN MXH00052

  • [FCA CF] Material risk taker (since 30 May 2025)
• Mark William Frederick Dearn

  IRN MXD00131

  • [FCA CF] Client dealing (since 22 Apr 2026)
• Mary Helen Trussell

  IRN MXT00419

  • SMF11 Chair of the Audit Committee (since 22 Dec 2025)
  • Director of firm who is not a certification employee or a SMF manager (7 Jul 2025 to 31 Oct 2025)
• Matthew Brian Tyler

  IRN MXT00220

  • [FCA CF] Significant management (31 Jan 2021 to 31 Jan 2022)

No changes recorded yet.