Rothesay Life Plc

• Principal Place of Business

  The Post Building

  100 Museum Street

  London

  WC1A 1PB

  UNITED KINGDOM

  Phone

  +4402077705300

  Web

  https://www.rothesay.com

• Complaints Contact

  The Post Building

  100 Museum Street

  London

  WC1A 1PB

  UNITED KINGDOM

  Phone

  +4402077705300

• 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Manages Insurance Policies

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

• Stockbroking

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Issues Insurance

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

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, 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), Rolling spot forex contract, Share, Spread Bet, 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 Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, 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), 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), Rolling spot forex contract, Share, Spread Bet, 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.

• Justine Jaruwan Archer

  IRN JJA01056

  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Manager of certification employee (since 10 Dec 2019)
  • CF30 Customer (19 May 2015 to 9 Dec 2018)
• Karan Ghadge

  IRN KXG00264

  • [FCA CF] Client dealing (since 21 Dec 2022)
• Katherine Angela Garner

  IRN KAG01064

  • Director of firm who is not a certification employee or a SMF manager (since 1 Apr 2024)
• Katherine Hannah Remington

  IRN KXR22519

  • SMF5 Head of Internal Audit (11 Mar 2024 to 6 Nov 2025)
• Kathryn Jones

  IRN KXJ00182

  • [FCA CF] Significant management (since 26 Mar 2024)
• Kathryn Lisa Woodfine

  IRN KLW01029

  • CF11 Money Laundering Reporting (12 Jul 2007 to 24 Jun 2009)
• Keir Frampton

  IRN KXF00205

  • [FCA CF] Significant management (since 4 Jul 2024)
• Keith Satchell

  IRN KXS01129

  • SIMF9 Chairman (7 Mar 2016 to 30 Mar 2016)
  • SIMF12 Chair of the Remuneration Committee (7 Mar 2016 to 30 Mar 2016)
  • CF2 Non Executive Director (4 Mar 2016 to 6 Mar 2016)
  • CF1 Director (12 Jul 2007 to 4 Mar 2016)
• Kim Elizabeth Jenner

  IRN KXJ66603

  • [FCA CF] Manager of certification employee (since 22 Jan 2024)
  • [FCA CF] Significant management (since 10 Dec 2019)
• Kinan Shammat

  IRN KXS00511

  • [FCA CF] Significant management (since 29 Nov 2022)

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