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.

• Mark Mansell

  IRN MXM04527

  • SMF5 Head of Internal Audit (since 3 Dec 2025)
  • [FCA CF] Significant management (5 Feb 2025 to 3 Dec 2025)
  • [FCA CF] Material risk taker (5 Feb 2025 to 23 May 2025)
• Mark Neil Husker

  IRN MNH01055

  • SMF3 Executive Director (9 Aug 2021 to 31 Mar 2024)
  • SMF24 Chief Operations (9 Aug 2021 to 31 Mar 2024)
  • SMF18 Other Overall Responsibility (9 Dec 2019 to 9 Aug 2021)
  • CF10a CASS Oversight function (16 May 2016 to 8 Dec 2019)
• Mark O'Regan

  IRN MXO00067

  • [FCA CF] Significant management (1 Feb 2021 to 31 Jul 2021)
• Mark Peter Bullen

  IRN MPB01164

  • SMF18 Other Overall Responsibility (16 Apr 2021 to 31 Aug 2022)
  • CF29 Significant management (2 Apr 2014 to 8 Dec 2019)
• Mark Robert Edward Vanderpump

  IRN MXV01092

  • CF30 Customer (5 Sep 2014 to 31 Dec 2016)
• Mark Venis

  IRN MXV00230

  • [FCA CF] Significant management (since 25 Apr 2025)
• Martin White

  IRN MXW00521

  • [FCA CF] Significant management (since 1 Feb 2022)
  • [FCA CF] Material risk taker (8 Feb 2024 to 23 May 2025)
• Martyn John Hindley

  IRN MJH01617

  • CF2 Non Executive Director (14 Mar 2013 to 16 Feb 2015)
• Mathew Clarke

  IRN MXC00904

  • [FCA CF] Material risk taker (23 May 2025 to 28 Oct 2025)
  • [FCA CF] Manager of certification employee (1 Feb 2023 to 28 Oct 2025)
• Matt Haworth

  IRN MXH00613

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 27 Aug 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)

No changes recorded yet.