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.

• Naguib Kheraj

  IRN NXK01083

  • SMF10 Chair of the Risk Committee (10 Dec 2018 to 10 Dec 2018)
  • SMF12 Chair of the Remuneration Committee (10 Dec 2018 to 1 Jul 2025)
  • SMF9 Chair of the Governing Body (10 Dec 2018 to 1 Jul 2025)
  • SIMF9 Chairman (13 Dec 2017 to 9 Dec 2018)
  • SIMF12 Chair of the Remuneration Committee (13 Dec 2017 to 9 Dec 2018)
  • SIMF10 Chair of the Risk Committee (30 Sep 2016 to 9 Dec 2018)
  • CF2 Non Executive Director (9 Mar 2015 to 6 Mar 2016)
• Nathanael AKA

  IRN NXA73932

  • [FCA CF] Manager of certification employee (since 21 Dec 2022)
  • [FCA CF] Client dealing (since 4 Jun 2021)
• Nedal Ramahi

  IRN NXR01358

  • [FCA CF] Manager of certification employee (since 6 Feb 2025)
  • [FCA CF] Client dealing (since 5 Jun 2023)
  • [FCA CF] Client dealing (10 Dec 2019 to 19 Jan 2021)
  • CF30 Customer (5 May 2018 to 9 Dec 2018)
• Nicholas Hirsch

  IRN NXH00554

  • [FCA CF] Significant management (since 16 Dec 2025)
• Nicholas Paul Le Cuirot Crapp

  IRN NPC01071

  • CF28 Systems and controls (22 Jun 2011 to 20 Jan 2012)
• Nicola Ann Davies

  IRN NAD01033

  • [FCA CF] Significant management (26 Mar 2024 to 28 Nov 2024)
  • CF29 Significant management (1 Nov 2007 to 4 Apr 2014)
  • CF20 Significant Mgt (Settlements) (12 Jul 2007 to 31 Oct 2007)
• Nicola Jane Leonard

  IRN NXL66608

  • [FCA CF] Significant management (10 Dec 2019 to 1 Mar 2025)
• Nicola Lynne Burgess

  IRN NLB01025

  • SMF5 Head of Internal Audit (10 Dec 2018 to 25 Mar 2024)
  • SIMF5 Head of Internal Audit Function (7 Jun 2018 to 9 Dec 2018)
• Nicolas Brandebourger

  IRN NXB00319

  • [FCA CF] Client dealing (27 Jan 2022 to 15 Jul 2024)
• Nimalan Sivakumaran

  IRN NXS02207

  • [FCA CF] Manager of certification employee (since 1 Aug 2025)
  • [FCA CF] Material risk taker (since 25 Jan 2024)
  • [PRA CF] Significant risk taker or Material risk taker (since 25 Jan 2024)
  • [FCA CF] Client dealing (since 25 Jan 2024)
  • [FCA CF] Significant management (since 25 Jan 2024)

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