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.

• Matthew Bye

  IRN MXB00509

  • [FCA CF] Functions requiring qualifications (30 Mar 2021 to 30 Jun 2022)
  • [FCA CF] Manager of certification employee (19 Mar 2021 to 30 Mar 2021)
• Metna Ganie

  IRN MXG00938

  • [FCA CF] Significant management (since 18 Feb 2026)
• Michael Fox

  IRN MXF00592

  • [FCA CF] Material risk taker (since 27 Mar 2025)
  • [FCA CF] Significant management (since 27 Mar 2025)
• Michael Mainwood

  IRN MXM01115

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 29 Mar 2023)
  • [FCA CF] Material risk taker (30 May 2023 to 23 May 2025)
• Michelle Bloxham

  IRN MXB00357

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 8 Jun 2022)
  • [FCA CF] Significant management (25 May 2022 to 7 Jun 2022)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 25 May 2022)
• Michelle Saab

  IRN MXS00380

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

  IRN MTS01049

  • [FCA CF] Material risk taker (1 Feb 2022 to 19 Apr 2023)
  • [FCA CF] Client dealing (1 Feb 2021 to 30 Apr 2024)
  • CF30 Customer (1 Feb 2018 to 8 Dec 2019)
• Neill Raymond Sullivan

  IRN NXS00145

  • [FCA CF] Significant management (1 Feb 2021 to 31 Oct 2021)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Oct 2021)
• Neville Simms

  IRN NXS01608

  • CF2 Non Executive Director (26 Nov 2009 to 31 Aug 2011)
• Nicholas Simon Rose

  IRN NSR01033

  • CF2 Non Executive Director (25 Feb 2011 to 23 Apr 2015)

No changes recorded yet.