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.

• Gavin Taylor

  IRN GXT01399

  • CF30 Customer (18 Mar 2013 to 4 Jul 2013)
• Ghalib Latif Supple

  IRN GLS01080

  • [FCA CF] Material risk taker (since 1 Feb 2022)
  • [FCA CF] Client dealing (since 19 Mar 2021)
  • CF30 Customer (20 Mar 2013 to 8 Dec 2019)
• Guy Brodie

  IRN GXB00185

  • [FCA CF] Significant management (1 Feb 2021 to 28 Oct 2025)
• Guy Richard Wakeley

  IRN GRW01099

  • SMF3 Executive Director (9 Dec 2019 to 4 Jan 2021)
  • CF1 Director (14 Apr 2015 to 8 Dec 2019)
• Hana Graham

  IRN HXG00042

  • [FCA CF] Significant management (1 Feb 2021 to 9 Apr 2021)
• Hannah Mullane

  IRN HXM00221

  • [FCA CF] Significant management (30 Nov 2021 to 25 Feb 2022)
• Harish Odedra

  IRN HXO00035

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 5 Oct 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)
• Harrison Pearce

  IRN HXP00287

  • [FCA CF] Significant management (25 Mar 2025 to 28 Oct 2025)
  • [FCA CF] Material risk taker (25 Mar 2025 to 23 May 2025)
• Henryk Jan Dubeck

  IRN HJD01068

  • CF29 Significant management (26 Mar 2014 to 1 Jun 2018)
• Iain Howard

  IRN IXH00059

  • [FCA CF] Material risk taker (1 Feb 2022 to 8 Dec 2023)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 8 Dec 2023)

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