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

  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.

• Sam Lever

  IRN SXL56196

  • SMF20 Chief Actuary (since 6 May 2025)
• Seamus Creedon

  IRN SXC01255

  • SMF14 Senior Independent Director (1 Jan 2020 to 2 Apr 2020)
• Simon Small

  IRN SXS02919

  • SMF24 Chief Operations (17 Apr 2019 to 1 Jan 2020)
  • SMF1 Chief Executive (10 Dec 2018 to 1 Jan 2020)
  • SIMF1 Chief Executive Function (3 Oct 2018 to 9 Dec 2018)
  • SIMF2 Chief Finance Function (7 Mar 2016 to 3 Oct 2018)
  • CF1 Director (23 Jul 2012 to 6 Mar 2016)
• Sonia Sahnan

  IRN SXS04200

  • CF29 Significant management (24 Jul 2015 to 27 Sep 2016)
• Stephen Shone

  IRN SXS01255

  • SMF1 Chief Executive (1 Jan 2020 to 1 Jan 2025)
• Susan Elizabeth Lempkpwski

  IRN SXL53596

  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 31 May 2023)
  • [FCA CF] Manager of certification employee (1 Apr 2023 to 31 May 2023)
• Susan Jacqueline Colquhoun

  IRN SJC01319

  • CF11 Money Laundering Reporting (1 Aug 2011 to 1 Nov 2011)
• Susan Marie Puddephatt

  IRN SMP01107

  • CF28 Systems and controls (28 Feb 2011 to 14 Aug 2015)
  • CF10 Compliance Oversight (28 Feb 2011 to 14 Aug 2015)
• Susan Patricia Kean

  IRN SPK01056

  • SMF10 Chair of the Risk Committee (1 Jan 2020 to 25 Oct 2021)
• Suzanne Fiona Wares

  IRN SFW01045

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Dec 2018 to 31 Dec 2020)
  • CF11 Money Laundering Reporting (3 Jul 2014 to 9 Dec 2018)

No changes recorded yet.