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.

• Jon David Bridge

  IRN JDB01091

  • [FCA CF] Manager of certification employee (1 Feb 2021 to 31 Jul 2021)
  • [FCA CF] Client dealing (1 Feb 2021 to 31 Jul 2021)
  • CF30 Customer (21 Mar 2013 to 8 Dec 2019)
• Jonathan David Millam

  IRN JDM01283

  • SMF3 Executive Director (9 Dec 2019 to 31 Jul 2021)
  • SMF2 Chief Finance (9 Dec 2019 to 31 Jul 2021)
  • CF1 Director (5 Nov 2018 to 8 Dec 2019)
  • CF28 Systems and controls (5 Nov 2018 to 8 Dec 2019)
• Kevin Anthony Hayes

  IRN KAH01112

  • SMF13 Chair of the Nominations Committee (since 31 Jul 2023)
  • SMF9 Chair of the Governing Body (since 31 Jul 2023)
• Kevin Bailey

  IRN KXB00361

  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Functions requiring qualifications (since 25 Jun 2024)
  • [FCA CF] Material risk taker (25 Jun 2024 to 23 May 2025)
• Kevin Beeston

  IRN KXB01568

  • CF2 Non Executive Director (15 Sep 2011 to 29 Sep 2017)
• Kevin Hepburn

  IRN KXH00217

  • [FCA CF] Material risk taker (19 Apr 2023 to 31 Jul 2023)
  • [FCA CF] Significant management (29 Mar 2021 to 31 Jul 2023)
• Kevin O'Connor

  IRN KXO22813

  • SMF7 Group Entity Senior Manager (24 Jan 2020 to 31 Jul 2022)
• Kit Atkinson

  IRN KXA01230

  • SMF1 Chief Executive (since 10 Nov 2025)
  • Responsible for Insurance Distribution (since 10 Nov 2025)
  • SMF3 Executive Director (since 10 Nov 2025)
• Laurence James Bartlett

  IRN LJB01118

  • CF30 Customer (19 Nov 2013 to 24 Nov 2014)
• Lee Alan Greening

  IRN LAG01043

  • CF28 Systems and controls (18 Oct 2011 to 14 May 2012)

No changes recorded yet.