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)

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  • · 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.

• Paul Nicholas Wright

  IRN PNW01044

  • [FCA CF] Functions requiring qualifications (10 Sep 2021 to 15 Feb 2023)
• Peter Gordon John Docherty

  IRN PGD01076

  • SMF3 Executive Director (13 Mar 2020 to 2 Dec 2022)
  • SMF1 Chief Executive (13 Mar 2020 to 1 Nov 2022)
• Philippa Mary Goldthorpe

  IRN PMC01096

  • [FCA CF] Manager of certification employee (since 19 May 2025)
  • [FCA CF] Manager of certification employee (14 Dec 2023 to 5 Feb 2024)
• Phillip John Smith

  IRN PRS01198

  • SMF3 Executive Director (9 Dec 2019 to 27 Aug 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 Aug 2021)
  • CF3 Chief Executive (8 Feb 2017 to 6 Mar 2017)
  • Responsible for Insurance Mediation (26 Feb 2016 to 30 Sep 2018)
  • CF1 Director (26 Feb 2016 to 8 Dec 2019)
• Priscilla Davies

  IRN PAD01167

  • SMF12 Chair of the Remuneration Committee (14 Oct 2022 to 30 Jun 2023)
  • SMF13 Chair of the Nominations Committee (14 Oct 2022 to 2 May 2023)
  • SMF9 Chair of the Governing Body (4 Nov 2021 to 18 Jan 2023)
• Ranila Ravi-Burslem

  IRN RXR00033

  • [FCA CF] Material risk taker (1 Sep 2024 to 30 Nov 2024)
  • SMF18 Other Overall Responsibility (23 Nov 2022 to 31 Aug 2024)
• Richard John McCambridge

  IRN RXM87019

  • SMF16 Compliance Oversight (6 Oct 2020 to 8 Nov 2022)
• Robert Kelly Adams

  IRN RKA01030

  • [FCA CF] Manager of certification employee (31 Jan 2021 to 5 Dec 2023)
  • CF1 Director (12 Feb 2019 to 6 Dec 2019)
  • CF28 Systems and controls (26 Feb 2016 to 6 Dec 2019)
• Roger Frederick Peill

  IRN RFP01056

  • SMF16 Compliance Oversight (9 Dec 2019 to 6 Mar 2020)
  • CF10 Compliance Oversight (30 Mar 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (30 Mar 2017 to 29 Jun 2018)
• Rose Marie St Louis

  IRN RMS00016

  • [FCA CF] Material risk taker (2 Sep 2024 to 3 Sep 2024)

No changes recorded yet.