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

  Show 1 limitation Hide limitations

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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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.

• Charles Albert John Bellringer

  IRN CAB00020

  • CF1 Director (14 May 2002 to 25 Nov 2002)
  • CF19 Significant Mgt (Financial Resources) (1 Dec 2001 to 25 Nov 2002)
  • CF14 Risk Assessment (1 Dec 2001 to 25 Nov 2002)
  • CF13 Finance (1 Dec 2001 to 25 Nov 2002)
• Charles Grant Thomson

  IRN CGT01010

  • CF19 Significant Mgt (Financial Resources) (5 Dec 2002 to 27 Jun 2003)
  • CF13 Finance (5 Dec 2002 to 27 Jun 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF3 Chief Executive (1 Dec 2001 to 26 Aug 2009)
  • CF1 Director (1 Dec 2001 to 26 Aug 2009)
• Charles Martin Garthwaite

  IRN CMG01073

  • CF15 Internal Audit (16 Sep 2002 to 30 Apr 2003)
  • CF14 Risk Assessment (16 Sep 2002 to 16 Jul 2003)
• Christopher Mark Utting

  IRN CXU47157

  • [PRA CF] Key function holder (since 1 Jan 2020)
• Christopher Michael Wiscarson

  IRN CMW01087

  • SIMF1 Chief Executive Function (7 Mar 2016 to 24 Jul 2018)
  • CF8 Apportionment and Oversight (12 Nov 2009 to 6 Mar 2016)
  • CF1 Director (2 Sep 2009 to 24 Jul 2018)
  • CF3 Chief Executive (2 Sep 2009 to 6 Mar 2016)
• Clive Godfrey Warburton

  IRN CGW01018

  • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Jun 2002)
  • CF10 Compliance Oversight (1 Dec 2001 to 7 Jun 2002)
• Daniel William Finkelstein

  IRN DXF28540

  • Director of firm who is not a certification employee or a SMF manager (2 Apr 2020 to 5 Jul 2024)
• Darren Major

  IRN DXM47164

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

  IRN DGP01094

  • SMF24 Chief Operations (1 Jan 2020 to 21 May 2021)
  • SMF16 Compliance Oversight (31 Dec 2019 to 31 Dec 2019)
  • SMF4 Chief Risk (10 Dec 2018 to 31 Dec 2019)
  • SIMF4 Chief Risk Function (7 Mar 2016 to 9 Dec 2018)
  • CF28 Systems and controls (3 Sep 2015 to 6 Mar 2016)
  • CF10 Compliance Oversight (3 Sep 2015 to 9 Dec 2018)
  • CF29 Significant management (22 Jun 2012 to 3 Sep 2015)
• David Harry Adams

  IRN DHA01005

  • CF2 Non Executive Director (1 Dec 2001 to 30 Sep 2012)

No changes recorded yet.