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

  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.

• Richard Foster

  IRN RXF00340

  • [FCA CF] Client dealing (since 10 Oct 2024)
• Richard John Levy

  IRN RJL01093

  • CF10 Compliance Oversight (12 Jul 2007 to 29 Nov 2007)
• Richard Laurence Spooner

  IRN RLS01094

  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Manager of certification employee (since 10 Dec 2019)
  • [FCA CF] Material risk taker (since 10 Dec 2019)
  • [FCA CF] Significant management (since 10 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (since 10 Dec 2019)
  • CF30 Customer (7 Nov 2011 to 9 Dec 2018)
• Robert Edward Carver

  IRN RXC66573

  • [FCA CF] Client dealing (10 Dec 2019 to 17 Apr 2020)
• Robert James Smith

  IRN RJS01481

  • [PRA CF] Significant risk taker or Material risk taker (since 10 Dec 2019)
  • [FCA CF] Manager of certification employee (since 10 Dec 2019)
  • [FCA CF] Material risk taker (since 10 Dec 2019)
  • [FCA CF] Significant management (since 10 Dec 2019)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • CF30 Customer (11 Apr 2013 to 9 Dec 2018)
• Robin Alexander De Beir Jarratt

  IRN RAJ01055

  • SMF7 Group Entity Senior Manager (since 10 Dec 2018)
  • SIMF7 Group Entity Senior Insurance Manager Function (7 Mar 2016 to 9 Dec 2018)
  • CF1 Director (18 Mar 2014 to 6 Mar 2016)
• Robin Antony Vince

  IRN RAV01009

  • CF1 Director (11 Nov 2011 to 31 Dec 2012)
• Robin Wiseman

  IRN RDW01087

  • [FCA CF] Significant management (since 18 Mar 2025)
• Rui Filipe Ferreira

  IRN RXF00213

  • [FCA CF] Significant management (since 25 Jul 2022)
• Russell Higgs

  IRN RXH00494

  • [FCA CF] Significant management (since 23 Mar 2022)

No changes recorded yet.