EQUITABLE LIFE ASSURANCE SOCIETY,(THE)

• Principal Place of Business

  Walton Street

  Aylesbury

  Buckinghamshire

  HP21 7QW

  UNITED KINGDOM

  Phone

  +443301591530

  Web

  https://www.utmost.co.uk

• Complaints Contact

  Walton Street

  Aylesbury

  HP21 7QW

  UNITED KINGDOM

  Phone

  +441296506917

• Bank Deposits

  For All, Deposit

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  • · Limited to accepting deposits in the course of carrying on insurance business for which the firm holds a permission.

• 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Insurance Policies

  For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Professional, Retail (Investment), Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Future (excluding a commodity future and a rolling spot forex contract), Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rolling spot forex contract, Spread Bet

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Issues Insurance

  For All, Capital redemption, Life and annuity, Linked long-term, Marriage and birth, Pension fund management, Permanent health

• Runs Personal Pensions

  For Personal pension scheme

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, 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)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• ANDREW PAUL THOMPSON

  IRN APT01088

  • SMF7 Group Entity Senior Manager (since 1 Jan 2020)
• Aidan John Allcock

  IRN AJA01243

  • SIMF5 Head of Internal Audit Function (27 Apr 2016 to 2 Oct 2016)
• Alfred Charles Shedden

  IRN ACS01131

  • CF2 Non Executive Director (9 May 2002 to 11 May 2009)
• Andrew Gordon

  IRN AXG01439

  • CF10 Compliance Oversight (7 Jun 2002 to 14 Apr 2003)
  • CF11 Money Laundering Reporting (7 Jun 2002 to 11 Jul 2002)
• Andrew Mark Stoker

  IRN AMS01290

  • SMF1 Chief Executive (since 17 Dec 2024)
• Andrew Richard Threadgold

  IRN ART01040

  • CF2 Non Executive Director (1 Dec 2001 to 11 May 2009)
• Anne Elizabeth Smith

  IRN AXS47165

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2018)
• CHRISTOPHER LERPINIERE

  IRN CXL01486

  • SMF24 Chief Operations (8 Jan 2020 to 31 May 2022)
• Carrie Lindsay Barnes

  IRN CXB47159

  • [FCA CF] Functions requiring qualifications (10 Dec 2018 to 30 Jun 2020)
  • [FCA CF] Manager of certification employee (10 Dec 2018 to 30 Jun 2020)
• Cathryn Riley

  IRN CER01019

  • SMF12 Chair of the Remuneration Committee (10 Dec 2018 to 1 Jan 2020)
  • SIMF12 Chair of the Remuneration Committee (7 Mar 2016 to 9 Dec 2018)
  • CF2 Non Executive Director (10 Aug 2009 to 6 Mar 2016)

No changes recorded yet.