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.

• Russell Schluep

  IRN RES01052

  • [FCA CF] Material risk taker (since 1 Feb 2022)
  • [FCA CF] Client dealing (since 19 Mar 2021)
  • CF30 Customer (2 Sep 2014 to 8 Dec 2019)
• Sally Allan

  IRN SXA00218

  • 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)
• Samuel John Halford

  IRN SJH01508

  • CF28 Systems and controls (15 Jul 2010 to 1 Jul 2019)
• Sara Smith

  IRN SXS00365

  • [FCA CF] Significant management (since 27 Nov 2024)
  • SMF18 Other Overall Responsibility (16 Feb 2022 to 30 Oct 2024)
  • [FCA CF] Material risk taker (1 Feb 2022 to 15 Feb 2022)
  • [FCA CF] Significant management (1 Feb 2021 to 15 Feb 2022)
• Sarah Bullen

  IRN SXB00840

  • [FCA CF] Significant management (1 Feb 2022 to 28 Oct 2025)
• Sarah Nicel

  IRN SXE00087

  • 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 2 Jun 2025)
• Scott Fayers

  IRN SXF00136

  • [FCA CF] Significant management (since 1 Feb 2022)
  • [FCA CF] Manager of certification employee (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)
• Simon Andrew Wadey

  IRN SAW01263

  • SMF16 Compliance Oversight (since 4 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Apr 2026)
  • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
• Simon Smith

  IRN SXS12305

  • CF29 Significant management (10 May 2019 to 8 Dec 2019)
• Stanley Guzik

  IRN SXG00967

  • SMF7 Group Entity Senior Manager (since 14 Jan 2026)

No changes recorded yet.