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.

• Clancy Murphy

  IRN CXM01974

  • CF1 Director (27 Apr 2010 to 30 Nov 2012)
• Clare Harris

  IRN CXH00217

  • [FCA CF] Material risk taker (19 Apr 2023 to 9 May 2025)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 9 May 2025)
• Claudia Bezerra-Dyson

  IRN CXB00241

  • [FCA CF] Significant management (12 Aug 2022 to 19 Feb 2025)
  • [FCA CF] Material risk taker (1 Feb 2022 to 12 Aug 2022)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 12 Jan 2024)
• Colin Smith

  IRN CJS01351

  • [FCA CF] Client dealing (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 19 Apr 2023)
  • CF30 Customer (8 Mar 2013 to 8 Dec 2019)
• Craig Smiley

  IRN CXS00676

  • SMF7 Group Entity Senior Manager (10 Feb 2023 to 30 Jun 2025)
• Daniel Lennard

  IRN DXL00468

  • [FCA CF] Client dealing (since 7 Mar 2024)
  • [FCA CF] Material risk taker (7 Mar 2024 to 25 Jun 2024)
• Darren Caswell

  IRN DXC00898

  • [FCA CF] Manager of certification employee (since 20 Nov 2025)
  • [FCA CF] Significant management (since 19 Jun 2025)
• Darren Charles

  IRN DXC00211

  • [FCA CF] Manager of certification employee (1 Feb 2021 to 6 Sep 2021)
  • [FCA CF] Significant management (1 Feb 2021 to 6 Sep 2021)
• Darren Mark Smith

  IRN DMS01265

  • CF10a CASS Oversight function (1 Oct 2011 to 1 Jul 2014)
  • CF29 Significant management (17 May 2011 to 8 Dec 2019)
• Darren Read

  IRN DJR01294

  • [FCA CF] Material risk taker (since 1 Feb 2022)
  • [FCA CF] Manager of certification employee (since 27 Aug 2021)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 26 Aug 2021)
  • CF30 Customer (23 Jan 2013 to 28 Mar 2013)

No changes recorded yet.