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.

• Angela Fox

  IRN AXF00222

  • [FCA CF] Material risk taker (since 5 Sep 2024)
  • [FCA CF] Significant management (since 5 Sep 2024)
  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 5 May 2022)
• Angela Parkin

  IRN AXP00819

  • [FCA CF] Material risk taker (since 2 Jun 2023)
  • [FCA CF] Significant management (since 2 Jun 2023)
• Anna Louise Dubois-Mulholland

  IRN ALD01036

  • CF30 Customer (2 Sep 2014 to 8 Dec 2019)
• Anthony John Hall

  IRN AXH01219

  • SMF18 Other Overall Responsibility (since 11 Feb 2025)
• Brian O'Neill

  IRN BXO00122

  • SMF24 Chief Operations (since 12 Jan 2026)
  • SMF7 Group Entity Senior Manager (since 11 Nov 2025)
• Caroline Retfalvi-Langford

  IRN CXR00137

  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 30 Nov 2021)
• Cesar Reyes-Torres

  IRN CXR12302

  • [FCA CF] Significant management (since 7 Mar 2025)
  • [FCA CF] Material risk taker (since 7 Mar 2025)
  • [FCA CF] Manager of certification employee (since 7 Mar 2025)
  • SMF18 Other Overall Responsibility (10 Feb 2023 to 12 Feb 2025)
  • CF29 Significant management (15 May 2019 to 8 Dec 2019)
• Charalampos KyriaKopoulos

  IRN CXK01371

  • CF2 Non Executive Director (11 Oct 2013 to 8 Aug 2016)
• Christopher Mills

  IRN CXM00057

  • [FCA CF] Significant management (21 Nov 2024 to 2 Mar 2026)
  • [FCA CF] Material risk taker (21 Nov 2024 to 2 Mar 2026)
• Claire Holland

  IRN CXH00871

  • [FCA CF] Significant management (since 5 Feb 2025)
  • [FCA CF] Material risk taker (5 Feb 2025 to 23 May 2025)

No changes recorded yet.