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.

• Jeffrey Paduch

  IRN JXP01829

  • CF2 Non Executive Director (1 Dec 2009 to 31 Dec 2010)
• Jennifer Ward

  IRN JXW01025

  • [FCA CF] Significant management (since 8 Feb 2024)
  • [FCA CF] Material risk taker (8 Feb 2024 to 23 May 2025)
• Jerome Henry Bailey

  IRN JHB01131

  • CF1 Director (31 Oct 2008 to 1 Sep 2009)
• Jo Kelly

  IRN JXK00333

  • [FCA CF] Material risk taker (1 Feb 2022 to 8 Feb 2024)
  • [FCA CF] Significant management (22 Nov 2021 to 31 Mar 2024)
  • [FCA CF] Manager of certification employee (22 Nov 2021 to 31 Mar 2024)
• Joanne Palmer

  IRN JXP01622

  • CF1 Director (3 Sep 2007 to 5 Nov 2008)
• Joe Lewis

  IRN JXL00742

  • [FCA CF] Significant management (1 Nov 2023 to 8 Dec 2025)
  • [FCA CF] Material risk taker (1 Nov 2023 to 8 Dec 2025)
• Joel Carrick

  IRN JXC00400

  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)
  • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 27 Jun 2025)
• John Meakin

  IRN JXM01443

  • [FCA CF] Material risk taker (since 8 Feb 2024)
  • [FCA CF] Significant management (since 4 Aug 2023)
• John Parker

  IRN JXP01824

  • CF2 Non Executive Director (17 Jan 2014 to 29 Sep 2017)
  • CF1 Director (4 Nov 2009 to 31 Dec 2013)
• John Robert Stier

  IRN JRS01243

  • SMF7 Group Entity Senior Manager (7 Apr 2020 to 12 Oct 2021)

No changes recorded yet.