Equiniti Financial Services Limited

• Principal Place of Business

  Highdown House

  Yeoman Way

  Worthing

  West Sussex

  BN99 3HH

  UNITED KINGDOM

  Phone

  +4403713842059

  Web

  https://www.equiniti.com

• Complaints Contact

  Highdown House

  Yeoman Way

  Worthing

  West Sussex

  BN99 3HH

  UNITED KINGDOM

  Phone

  +4403713842059

• 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 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, 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, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, 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.

• Insurance Admin

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

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Unable to: (i) hold financial instruments for own account unless it meets the 'matched principal exemption conditions' as defined in the FSA's Glossary of defined expressions used in the FSA's Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis

• Investment Setup

  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, 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, Stakeholder pension scheme, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Security), Share, 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.

• Adam Charles Green

  IRN ACG01119

  • SMF7 Group Entity Senior Manager (15 Feb 2024 to 10 Oct 2025)
  • SMF4 Chief Risk (9 Dec 2019 to 11 Apr 2022)
  • SMF3 Executive Director (9 Dec 2019 to 15 Feb 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Apr 2022)
  • CF10 Compliance Oversight (7 Oct 2015 to 8 Dec 2019)
  • CF1 Director (28 Aug 2015 to 8 Dec 2019)
• Adam Phelps

  IRN AXP00250

  • [FCA CF] Material risk taker (1 Feb 2022 to 31 Mar 2024)
  • [FCA CF] Significant management (1 Feb 2021 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Mar 2024)
• Adrian James

  IRN AXJ00371

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
  • [FCA CF] Material risk taker (8 Feb 2024 to 23 May 2025)
• Alasdair Marnoch

  IRN AXM02369

  • CF2 Non Executive Director (15 Jun 2010 to 31 May 2012)
• Amy Meyers

  IRN AXM00482

  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 19 Mar 2021)
• Andreea Mindrila

  IRN AXM05451

  • [FCA CF] Material risk taker (12 Dec 2024 to 23 May 2025)
  • [FCA CF] Significant management (12 Dec 2024 to 27 Feb 2026)
• Andrew John French

  IRN AJF01105

  • Responsible for Insurance Distribution (22 Sep 2023 to 19 Nov 2025)
  • SMF1 Chief Executive (22 Sep 2023 to 19 Nov 2025)
  • SMF16 Compliance Oversight (26 Feb 2022 to 1 Feb 2024)
  • SMF3 Executive Director (26 Feb 2022 to 26 Nov 2025)
  • SMF4 Chief Risk (26 Feb 2022 to 1 Feb 2024)
• Andrew Michael Peeler

  IRN AMP01242

  • SMF7 Group Entity Senior Manager (28 Feb 2022 to 24 Nov 2025)
• Andrew William Stephenson

  IRN AXS00375

  • SMF7 Group Entity Senior Manager (19 Apr 2021 to 10 Oct 2025)
• Andy Hunt

  IRN AXH03297

  • [FCA CF] Significant management (since 12 Mar 2026)

No changes recorded yet.