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.

• David Ian Wishart Reynolds

  IRN DIR00005

  • CF2 Non Executive Director (2 Oct 2006 to 31 Dec 2014)
• David Johnson

  IRN DXJ00253

  • SMF24 Chief Operations (28 Apr 2023 to 16 Jan 2026)
• David Michael Baker

  IRN DMB01198

  • SMF10 Chair of the Risk Committee (since 28 Feb 2024)
• David Murray

  IRN DXM01599

  • CF12 Actuarial (23 May 2002 to 1 Apr 2005)
• David Watkins

  IRN DXW47162

  • 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)
• Duncan Alistair Finch

  IRN DAF01100

  • SMF11 Chair of the Audit Committee (since 1 Jan 2020)
• Emma Chowns

  IRN EXC47170

  • [FCA CF] Functions requiring qualifications (10 Dec 2018 to 1 Apr 2023)
• Feilim Mackle

  IRN FXM01070

  • Director of firm who is not a certification employee or a SMF manager (since 29 Apr 2020)
• Feride Gucel

  IRN FXG47161

  • [FCA CF] Manager of certification employee (10 Dec 2018 to 30 Apr 2020)
  • [FCA CF] Functions requiring qualifications (10 Dec 2018 to 30 Apr 2020)
• Feryal Nadeem

  IRN FXN01178

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Mar 2021 to 9 Aug 2024)
  • SMF4 Chief Risk (19 Dec 2019 to 9 Aug 2024)
  • SMF16 Compliance Oversight (19 Dec 2019 to 9 Aug 2024)

No changes recorded yet.