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.

• Julie Houston

  IRN JXH00177

  • CF10 Compliance Oversight (9 May 2003 to 1 Nov 2009)
• Katharine Mair Roberts

  IRN KXR47169

  • 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)
• Kathryn Bateman

  IRN KLP01028

  • CF12A With-Profits Actuary (16 Nov 2007 to 24 Oct 2008)
• Keith Nicholson

  IRN KXN01147

  • SMF10 Chair of the Risk Committee (10 Dec 2018 to 1 Jan 2020)
  • SMF11 Chair of the Audit Committee (10 Dec 2018 to 1 Jan 2020)
  • SMF14 Senior Independent Director (10 Dec 2018 to 1 Jan 2020)
  • SIMF10 Chair of the Risk Committee (7 Mar 2016 to 9 Dec 2018)
  • SIMF11 Chair of the Audit Committee (7 Mar 2016 to 9 Dec 2018)
  • SIMF14 Senior Independent Director (7 Mar 2016 to 9 Dec 2018)
  • CF2 Non Executive Director (26 Aug 2009 to 6 Mar 2016)
• Kelly Jayne Stone

  IRN KXS47167

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Manager of certification employee (since 15 Nov 2021)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2018)
• Laura Louise Sharp

  IRN LXS00273

  • SMF24 Chief Operations (since 15 Jan 2024)
  • [FCA CF] Functions requiring qualifications (26 Apr 2021 to 15 Jan 2024)
  • [FCA CF] Manager of certification employee (26 Apr 2021 to 15 Jan 2024)
• Louise Margaret Parbat

  IRN LMP01093

  • SMF18 Other Overall Responsibility (10 Dec 2018 to 1 Jan 2020)
  • CF29 Significant management (1 Jun 2018 to 9 Dec 2018)
• Mark Earls

  IRN MXE01364

  • CF1 Director (9 Sep 2009 to 14 Feb 2013)
• Mark Edward Francis

  IRN MEF01080

  • SMF24 Chief Operations (since 15 Jan 2026)
  • SMF2 Chief Finance (since 1 Jan 2024)
  • SMF24 Chief Operations (20 Jul 2021 to 1 Jan 2024)
  • SMF2 Chief Finance (10 Dec 2018 to 1 Jan 2020)
  • SIMF2 Chief Finance Function (3 Oct 2018 to 9 Dec 2018)
  • CF29 Significant management (1 Jun 2018 to 3 Oct 2018)
• Mark John Lloyd Scrivener

  IRN MJS01336

  • CF11 Money Laundering Reporting (24 Jul 2002 to 14 Aug 2003)

No changes recorded yet.