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.

• Darren Jarvis

  IRN DXJ01234

  • CF28 Systems and controls (23 Apr 2012 to 9 Jul 2012)
• David Andrew Cox

  IRN DXC66582

  • SMF24 Chief Operations (since 16 Aug 2023)
  • [FCA CF] Material risk taker (10 Dec 2019 to 1 Sep 2023)
  • [FCA CF] Significant management (10 Dec 2019 to 1 Sep 2023)
  • [PRA CF] Significant risk taker or Material risk taker (10 Dec 2019 to 1 Sep 2023)
• David John Atkinson

  IRN DJA01158

  • CF28 Systems and controls (1 Nov 2007 to 21 Jul 2009)
  • CF14 Risk Assessment (12 Jul 2007 to 31 Oct 2007)
• David John Hamilton

  IRN DJH01502

  • SMF16 Compliance Oversight (10 Dec 2018 to 6 Sep 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Dec 2018 to 6 Sep 2019)
  • CF10 Compliance Oversight (14 Jul 2016 to 9 Dec 2018)
  • CF11 Money Laundering Reporting (14 Jul 2016 to 9 Dec 2018)
• David Martin Jackson

  IRN DMJ01031

  • CF2 Non Executive Director (12 Jul 2007 to 31 Mar 2012)
• David McCarthy

  IRN DXM01226

  • [FCA CF] Client dealing (since 4 Aug 2025)
• David Paul Hodgson

  IRN DXH02018

  • [FCA CF] Client dealing (6 Jul 2021 to 24 Jan 2025)
• David Phan Dinh

  IRN DXP66620

  • [FCA CF] Significant management (10 Dec 2019 to 8 Oct 2020)
• David Roger Land

  IRN DXL01377

  • [FCA CF] Client dealing (10 Dec 2019 to 26 Sep 2025)
  • [FCA CF] Material risk taker (10 Dec 2019 to 26 Sep 2025)
  • [FCA CF] Significant management (10 Dec 2019 to 26 Sep 2025)
  • [PRA CF] Significant risk taker or Material risk taker (10 Dec 2019 to 26 Sep 2025)
  • CF29 Significant management (20 Jan 2016 to 9 Dec 2018)
  • CF30 Customer (27 Jul 2009 to 9 Dec 2018)
• David Thomas Addison

  IRN DXA01194

  • CF12 Actuarial (12 Jul 2007 to 8 Feb 2008)

No changes recorded yet.