EQ Investors Limited

• Principal Place of Business

  Centennium House

  100 Lower Thames Street

  London

  EC3R 6DL

  UNITED KINGDOM

  Phone

  +442074887110

  Web

  https://www.eqinvestors.co.uk

• Complaints Contact

  Centennium House

  100 Lower Thames Street

  London

  EC3R 6DL

  UNITED KINGDOM

  Phone

  +442074887110

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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.

• 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 Eligible Counterparty, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Peter Vickers

  IRN PXV00012

  • CF30 Customer (14 May 2012 to 15 Jun 2012)
• Raphael George Macharia

  IRN RXM01003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 30 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Apr 2024)
• Richard Winter

  IRN RJW01370

  • CF30 Customer (28 Apr 2015 to 2 Oct 2015)
• Robert Douglas MacGregor

  IRN RDM00020

  • CF30 Customer (15 May 2012 to 25 Jul 2012)
  • CF1 Director (AR) (2 Nov 2011 to 25 Jul 2012)
• Robert McKenzie

  IRN RIM01032

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jul 2021)
  • CF1 Director (AR) (26 Sep 2012 to 1 Mar 2014)
  • CF4 Partner (AR) (3 Sep 2012 to 30 Dec 2012)
  • CF30 Customer (3 Sep 2012 to 30 Dec 2012)
• Rosemary Adelaide Veronica Brown

  IRN RAB01329

  • CF10 Compliance Oversight (28 Feb 2013 to 24 Jul 2015)
• Ruban James Sanmuganathan

  IRN RJS01294

  • CF30 Customer (1 Jun 2011 to 21 Dec 2016)
• Sally Margaret Collins

  IRN SXC01422

  • CF30 Customer (18 Sep 2015 to 12 Sep 2017)
• Sarah Bowles

  IRN SLJ00006

  • CF30 Customer (1 Jun 2011 to 21 May 2012)
• Sarah Christine Heyward

  IRN SCH00053

  • CF30 Customer (20 Feb 2012 to 30 Dec 2012)

• Wellserve Financial Limited (no longer appointed)

  FRN 190820 · Appointed 17 Sep 2012 · Until 24 Mar 2014

• Truestone Wellers LLP (no longer appointed)

  FRN 583152 · Appointed 20 Jun 2012 · Until 24 Mar 2014

• Truestone Corporate Solutions Limited (no longer appointed)

  FRN 565658 · Appointed 3 Oct 2011 · Until 21 Jan 2014

No changes recorded yet.