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.

• Nigel Stuart Mason

  IRN NSM01047

  • CF3 Chief Executive (9 Oct 2007 to 28 Apr 2008)
  • Responsible for Insurance Mediation (3 Sep 2007 to 21 Jul 2008)
  • CF1 Director (3 Sep 2007 to 22 Aug 2008)
• Oliver Niedermaier

  IRN OXN01033

  • CF2 Non Executive Director (30 Dec 2009 to 22 Sep 2015)
• Patrick George Prior King

  IRN PJK01049

  • CF30 Customer (19 Mar 2015 to 30 Jun 2018)
  • CF29 Significant management (19 Mar 2015 to 30 Jun 2018)
• Paul Charles Matthews

  IRN PCM01052

  • SMF7 Group Entity Senior Manager (18 Jan 2020 to 31 May 2022)
  • CF1 Director (28 Mar 2013 to 2 Jul 2015)
• Paul Dominic Matson

  IRN PDM01149

  • CF1 Director (3 Oct 2007 to 18 Jul 2008)
• Paul Morrison

  IRN PRM01185

  • [FCA CF] Client dealing (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 19 Apr 2023)
  • CF30 Customer (3 Oct 2017 to 8 Dec 2019)
• Paul Richardson

  IRN PXR00333

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 17 Jan 2023)
  • [FCA CF] Material risk taker (8 Feb 2024 to 23 May 2025)
• Philip Graham Smith

  IRN PGS01054

  • CF30 Customer (23 Jan 2013 to 31 May 2014)
• Phillip David Rowland

  IRN PDR01084

  • CF1 Director (14 Nov 2008 to 5 Aug 2009)
• Richard Clark

  IRN RAC01098

  • [FCA CF] Client dealing (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 20 Apr 2023)
  • CF30 Customer (9 Dec 2014 to 8 Dec 2019)

No changes recorded yet.