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.

• Richard Crowter

  IRN RXC00338

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 29 Mar 2021)
  • [FCA CF] Material risk taker (8 Feb 2024 to 2 Jun 2025)
• Richard James Pearson

  IRN RJP00033

  • Responsible for Insurance Distribution (4 Mar 2022 to 30 Nov 2023)
  • SMF1 Chief Executive (6 Aug 2021 to 30 Nov 2023)
  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2023)
  • CF1 Director (5 Dec 2018 to 8 Dec 2019)
• Richard Latter

  IRN RXL00115

  • [FCA CF] Manager of certification employee (since 20 Nov 2025)
  • [FCA CF] Significant management (since 29 Feb 2024)
  • [FCA CF] Material risk taker (since 29 Feb 2024)
  • [FCA CF] Significant management (1 Feb 2021 to 30 Jun 2021)
• Richard Michael Donegan

  IRN RMD01051

  • CF10a CASS Oversight function (1 Jul 2014 to 17 May 2016)
  • CF1 Director (27 Feb 2014 to 9 Nov 2016)
  • CF29 Significant management (26 Feb 2013 to 21 Mar 2014)
  • CF30 Customer (22 Jan 2013 to 21 Mar 2014)
• Richard Warrington

  IRN RWW01091

  • SMF16 Compliance Oversight (11 Dec 2023 to 5 Feb 2025)
  • [FCA CF] Material risk taker (1 Feb 2022 to 11 Dec 2023)
  • [FCA CF] Manager of certification employee (10 Jan 2022 to 11 Dec 2023)
  • [FCA CF] Significant management (1 Feb 2021 to 11 Dec 2023)
  • CF29 Significant management (13 Mar 2014 to 8 Dec 2019)
• Robert William Martin

  IRN RWM01064

  • CF30 Customer (30 Jan 2015 to 13 Dec 2017)
• Rodney Aldridge

  IRN RMA01067

  • CF2 Non Executive Director (7 May 2010 to 8 Aug 2016)
• Ronald Bates

  IRN RXB22814

  • SMF7 Group Entity Senior Manager (since 23 Dec 2025)
  • SMF5 Head of Internal Audit (18 Jan 2020 to 23 Dec 2025)
• Rosanna Dawn Burr

  IRN RDB01131

  • SMF12 Chair of the Remuneration Committee (since 1 Sep 2023)
  • SMF14 Senior Independent Director (since 1 Sep 2023)
  • SMF10 Chair of the Risk Committee (since 1 Sep 2023)
  • SMF11 Chair of the Audit Committee (since 20 May 2021)
• Russell Ian Campbell Shore

  IRN RXS00283

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2021)
  • [FCA CF] Material risk taker (8 Feb 2024 to 2 Jun 2025)

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