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.

• Paul Bradford Ockene

  IRN PBO01009

  • CF11 Money Laundering Reporting (10 Feb 2012 to 20 Aug 2013)
• Pedro Cardoso

  IRN PXC00520

  • [FCA CF] Client dealing (24 Apr 2023 to 2 May 2024)
• Peter Anthony Shepherd

  IRN PAS01285

  • SMF4 Chief Risk (since 10 Dec 2018)
  • SMF16 Compliance Oversight (21 Nov 2019 to 9 Feb 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (21 Nov 2019 to 9 Feb 2021)
  • SIMF4 Chief Risk Function (26 Oct 2016 to 9 Dec 2018)
• Pralad Jadavji Vekaria

  IRN PXV07441

  • [FCA CF] Manager of certification employee (10 Dec 2019 to 16 Apr 2025)
  • [FCA CF] Client dealing (10 Dec 2019 to 16 Apr 2025)
  • CF30 Customer (26 Oct 2018 to 9 Dec 2018)
• Prateek Sharma

  IRN PXS01703

  • SMF6 Head of Key Business Areas (since 5 Feb 2021)
  • [FCA CF] Material risk taker (10 Dec 2019 to 4 Feb 2021)
  • CF30 Customer (27 Dec 2013 to 9 Dec 2018)
• Pui Kwan Clement Cheung

  IRN PKC01032

  • [FCA CF] Client dealing (since 18 Mar 2025)
• Qiyan Zhao

  IRN QXZ00021

  • [FCA CF] Client dealing (8 Jul 2025 to 22 Dec 2025)
• Rachel Bradshaw

  IRN RXB00748

  • [FCA CF] Material risk taker (since 4 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (since 4 Sep 2025)
  • [FCA CF] Significant management (since 25 Jan 2023)
• Raymond King

  IRN RXK01142

  • Director of firm who is not a certification employee or a SMF manager (10 Dec 2018 to 30 Jun 2022)
  • SIMF9 Chairman (28 Jul 2016 to 14 Dec 2017)
  • SIMF12 Chair of the Remuneration Committee (28 Jul 2016 to 14 Dec 2017)
  • SIMF11 Chair of the Audit Committee (7 Mar 2016 to 28 Jul 2016)
  • CF2 Non Executive Director (10 Nov 2014 to 6 Mar 2016)
• Richard David Antony Berliand

  IRN RDB01069

  • CF2 Non Executive Director (30 Mar 2015 to 6 Mar 2016)

No changes recorded yet.