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.

• Stella Alcalde

  IRN SXA00217

  • [FCA CF] Client dealing (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 19 Apr 2023)
• Steve Banfield

  IRN SXB00388

  • [FCA CF] Significant management (1 Feb 2021 to 6 Jan 2023)
• Steven Dargue

  IRN SXD09674

  • SMF18 Other Overall Responsibility (since 14 Jun 2024)
  • [FCA CF] Material risk taker (1 Feb 2022 to 17 Jun 2024)
  • [FCA CF] CASS oversight function (11 Jun 2021 to 17 Jun 2024)
  • [FCA CF] Manager of certification employee (11 Jun 2021 to 17 Jun 2024)
  • [FCA CF] Significant management (11 Jun 2021 to 17 Jun 2024)
• Steven Engelbert

  IRN SXE22812

  • SMF2 Chief Finance (18 Jan 2020 to 20 Feb 2020)
• Steven Robert Johnson

  IRN SXJ00207

  • SMF3 Executive Director (24 Aug 2021 to 30 Sep 2023)
  • SMF2 Chief Finance (24 Aug 2021 to 30 Sep 2023)
• Stewart Matthews

  IRN SXM04569

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 20 Sep 2024)
  • [FCA CF] Material risk taker (20 Sep 2024 to 23 May 2025)
• Stuart John Allin

  IRN SJA01206

  • CF30 Customer (13 Mar 2013 to 1 Jul 2019)
• Stuart John Ellen

  IRN SJE01128

  • Responsible for Insurance Mediation (26 Feb 2014 to 2 Jul 2015)
  • CF1 Director (26 Feb 2014 to 2 Jul 2015)
• Sue Cordina

  IRN SXC00331

  • [FCA CF] Material risk taker (1 Feb 2022 to 21 Dec 2022)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 21 Dec 2022)
• Susan Caroline Waller

  IRN SCW01108

  • CF1 Director (3 Oct 2007 to 11 Apr 2008)

No changes recorded yet.