Quilter Life & Pensions Limited

• Principal Place of Business

  Quilter House

  Portland Terrace

  Southampton

  Hampshire

  SO14 7EJ

  UNITED KINGDOM

  Phone

  +4408081712626

  Web

  https://www.quilter.com

• Complaints Contact

  Quilter

  Sunderland

  SR43 4JP

  UNITED KINGDOM

  Phone

  +448081712626

• 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 Eligible Counterparty, 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, 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 2 limitations Hide limitations

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, 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, 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 2 limitations Hide limitations

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

• Manages Insurance Policies

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

• Stockbroking

  For Eligible Counterparty, 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, 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 2 limitations Hide limitations

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), 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), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates.

• Issues Insurance

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

• Runs Personal Pensions

• Investment Setup

  For Eligible Counterparty, 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, 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 2 limitations Hide limitations

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

• Manages Your Portfolio

  For Eligible Counterparty, 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, Life Policy, 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 2 limitations Hide limitations

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

• Nicholas James Watts

  IRN NXW46460

  • [FCA CF] Manager of certification employee (1 Jul 2019 to 13 Jul 2020)
• Nicholas Paul Mansbridge

  IRN NXM43135

  • [FCA CF] Functions requiring qualifications (13 Nov 2019 to 6 May 2020)
• Nicholas Peter Godfrey

  IRN NXG24713

  • SMF24 Chief Operations (17 Feb 2020 to 17 May 2020)
• Nicholas Ramsay Dixon

  IRN NRD01027

  • CF1 Director (18 Dec 2008 to 15 Feb 2013)
• Nicholas Sacre-Hardy

  IRN NXS15530

  • SMF16 Compliance Oversight (13 Jan 2025 to 9 Mar 2026)
  • SMF4 Chief Risk (13 Jan 2025 to 9 Mar 2026)
  • [FCA CF] Significant management (15 Jun 2023 to 13 Jan 2025)
  • SMF7 Group Entity Senior Manager (23 Jan 2023 to 15 Jun 2023)
  • [FCA CF] Material risk taker (1 Jan 2022 to 13 Jan 2025)
  • SMF5 Head of Internal Audit (30 Jul 2019 to 11 Jul 2022)
• Nick Poyntz-Wright

  IRN NHP01007

  • CF8 Apportionment and Oversight (7 Jul 2008 to 1 May 2010)
  • CF3 Chief Executive (7 Jul 2008 to 1 May 2010)
  • CF1 Director (12 Sep 2006 to 30 Jun 2010)
• Nicola Jane Dibden

  IRN NJD01119

  • CF11 Money Laundering Reporting (28 May 2008 to 30 Jul 2012)
• Nicola Stronach

  IRN NXS02372

  • [FCA CF] Significant management (30 May 2022 to 12 Aug 2024)
• Nigel Derek Tracy Andrews

  IRN NDA01009

  • CF2 Non Executive Director (16 Nov 2009 to 17 May 2011)
• Nigel Jeffries

  IRN NXJ00162

  • [FCA CF] Material risk taker (17 Nov 2023 to 30 Apr 2024)

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