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.

• David Harland

  IRN DXH00806

  • [FCA CF] Material risk taker (since 13 Apr 2026)
  • [FCA CF] Significant management (since 15 Apr 2024)
  • [FCA CF] Material risk taker (15 Apr 2024 to 23 May 2025)
• David Shearman

  IRN DAS01177

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Manager of certification employee (since 19 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2021)
  • [FCA CF] Significant management (since 1 Feb 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)
• David Winton

  IRN DXW01467

  • CF3 Chief Executive (3 Sep 2007 to 17 Oct 2007)
  • CF1 Director (3 Sep 2007 to 17 Oct 2007)
  • CF8 Apportionment and Oversight (3 Sep 2007 to 17 Oct 2007)
• Dermot Peter Doughty

  IRN DPD01038

  • CF1 Director (3 Sep 2007 to 17 Oct 2007)
• Edward Robert Downing

  IRN EXD00207

  • SMF2 Chief Finance (since 22 Sep 2023)
  • SMF3 Executive Director (since 22 Sep 2023)
• Elaine Margetts

  IRN EXM01503

  • CF1 Director (30 Dec 2010 to 20 Jun 2011)
  • CF28 Systems and controls (30 Dec 2010 to 20 Jun 2011)
• Elizabeth Spencer

  IRN EXS00168

  • SMF24 Chief Operations (3 May 2024 to 31 Dec 2025)
• Emma Jane Clark

  IRN EJW01075

  • CF30 Customer (8 Sep 2014 to 29 Jan 2017)
• Gavin Dalziel Downs

  IRN GDD01012

  • Responsible for Insurance Mediation (22 Jul 2008 to 5 Mar 2014)
  • CF28 Systems and controls (1 Nov 2007 to 6 Sep 2010)
  • CF8 Apportionment and Oversight (9 Oct 2007 to 31 Oct 2007)
  • CF1 Director (3 Sep 2007 to 2 Jul 2015)
  • CF10 Compliance Oversight (3 Sep 2007 to 30 Sep 2015)
  • CF11 Money Laundering Reporting (3 Sep 2007 to 30 Jun 2013)
  • CF14 Risk Assessment (3 Sep 2007 to 31 Oct 2007)
  • CF15 Internal Audit (3 Sep 2007 to 31 Oct 2007)
• Gavin Lane

  IRN GXL00087

  • [FCA CF] Material risk taker (since 27 Mar 2026)
  • [FCA CF] Significant management (since 1 Feb 2021)
  • [FCA CF] Manager of certification employee (since 1 Feb 2021)
  • [FCA CF] Material risk taker (19 Apr 2023 to 23 May 2025)

No changes recorded yet.