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.

• Linda Elizabeth Roberts

  IRN LER01037

  • Director of firm who is not a certification employee or a SMF manager (since 23 Oct 2023)
• Lorien Heasman

  IRN LXH00544

  • [FCA CF] Significant management (since 30 Apr 2024)
  • [FCA CF] Material risk taker (30 Apr 2024 to 23 May 2025)
• Louise Brodie

  IRN LXT00113

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Apr 2026)
  • [FCA CF] Material risk taker (since 8 Feb 2024)
  • [FCA CF] Significant management (since 1 Feb 2021)
• Lynne Wells

  IRN LXW00226

  • [FCA CF] Significant management (since 10 Dec 2021)
  • [FCA CF] Material risk taker (1 Feb 2022 to 23 May 2025)
• Mandy Kirk-Smith

  IRN MXK00740

  • [FCA CF] Significant management (24 Nov 2023 to 13 Jun 2025)
  • [FCA CF] Material risk taker (24 Nov 2023 to 23 May 2025)
• Manisha Singh

  IRN MXS00874

  • [FCA CF] Significant management (10 Jan 2022 to 15 Dec 2023)
• Marc Andrew Vassanelli

  IRN MAV01048

  • CF2 Non Executive Director (27 Oct 2010 to 18 Jul 2011)
• Maria Shields

  IRN MXS01392

  • [FCA CF] Client dealing (31 Mar 2021 to 3 Sep 2021)
• Mark Damon Taylor

  IRN MDT01088

  • Responsible for Insurance Mediation (20 Jul 2015 to 1 Aug 2017)
  • CF3 Chief Executive (20 Feb 2014 to 1 Aug 2017)
  • CF1 Director (21 Dec 2012 to 5 Dec 2018)
  • CF28 Systems and controls (6 Sep 2010 to 27 Feb 2013)
• Mark Joseph Lund

  IRN MJL01212

  • SMF13 Chair of the Nominations Committee (9 Dec 2019 to 1 Aug 2023)
  • SMF9 Chair of the Governing Body (9 Dec 2019 to 1 Aug 2023)
  • SMF11 Chair of the Audit Committee (9 Dec 2019 to 26 May 2021)
  • CF2 Non Executive Director (5 Mar 2015 to 8 Dec 2019)

No changes recorded yet.